Have you lost money with financial advisor Bradley A. Goodbred of Roselle, Illinois? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, which barred him after he failed to respond to an investigation. FINRA was investigating this advisor after he was terminated by his former brokerage firm, LPL Financial. He allegedly used a power of attorney for a customer to withdraw funds from the customer’s account and have the customer provide him $430,000 for an outside real estate company.

Bradley Goodbred was a financial advisor and registered representative of LPL Financial from 2009 to February 2021 and worked at branch offices in Roselle, Illinois.

Brokerage firms have a responsibility to adequately supervise all representatives who are registered through their firm. They also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Phoenix, Arizona; Seattle, Washington; Grand Rapids, Michigan and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Illinois. Attorney David Neuman is licensed in Illinois and grew up in nearby Addison, Illinois. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against LPL Financial.

View BrokerCheck Report HERE

If you lost money with Bradley Goodbred or LPL Financial, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

FINRA alleged that VALIC Financial Advisors failed to adequately supervise rates of variable annuity exchanges and for corrective action in the case of inappropriate exchanges. FINRA also alleged that the firm failed to review transactions where customers added additional funds to an existing variable annuity. Finally, it was alleged that there were failures to timely report 174 customer complaints. To settle these allegations, a $350,000 fine was imposed.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Ann Arbor, Michigan; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past.

If you lost money with VALIC Financial Advisors, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Have you lost money with financial advisor Dustin Shafer? We are looking into allegations made about this advisor from Springfield, Illinois. FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry after he failed to respond to its investigation. FINRA was investigating allegations that he borrowed money from a client.

Dustin Shafer was a financial advisor and registered representative of Money Concepts Capital from 2008 to July 2019. He was also affiliated with Newbridge Securities from September 2019 to November 2020. He worked in a branch office in Springfield, Illinois. This advisor has also been the subject of numerous customer complaints, regarding allegations surrounding the sales of non-traded REITs (real estate investment trusts) and other alternative investments like GPB Capital.

Brokerage firms have a responsibility to adequately supervise all representatives who are registered through their firm. They also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Phoenix, Arizona; Seattle, Washington; Ann Arbor, Michigan and Grand Rapids, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including throughout Illinois. Attorneys David Neuman and Aaron Israels are both licensed to practice law in Illinois. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past.

View BrokerCheck Report HERE

If you lost money with Dustin Shafer, Money Concepts Capital or Newbridge Securities, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Are you a present or former customer of Gary S. Costello, formerly with Truist Investment Services, in Palm Beach, Florida and also formerly with Oppenheimer in Boca Raton? FINRA recently reported that Gary Costello was fired by Truist Investment Services in August 2023. Costello had been licensed with Truist Investment Services between November 2022 and August 2023. Costello also worked with Oppenheimer from August 2019 to November 2022.

Gary Costello’s BrokerCheck report discloses that “the firm investigated various trade corrections and margin activity in [Costello’s] personal account as well as his clients accounts”. Costello has also been the subject of five customer complaints. The most recent complaint was filed against Oppenheimer, alleging over $2 million in losses. The Oppenheimer complaint makes allegations concerning stocks, corporate bonds, options, unit investment trusts (UITs), and master limited partnerships (MLPs).

Gary Costello had a duty to follow FINRA rules while working with Truist Investment Services and Oppenheimer. This includes FINRA Rule 2111, which requires that advisors make suitable investment recommendations. If that rule was violated, the firms could be liable for investment losses.

Israels & Neuman PLC is an investment fraud law firm with offices in Denver, Seattle, and Phoenix. We represent investors all over the country, including investors in Florida. Attorney Dave Neuman is licensed to practice law in Florida.

You can find Gary Costello’s BrokerCheck report HERE

If you lost money with Gary Costello or Truist Investment Services, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Did you lose money investing in real estate with Andrew Pandis, formerly with Essex National Securities in Astoria, New York? There have been several customers who have filed claims against this advisor’s prior firms over losses in real estate investments. Six customer complaints have been made regarding Pandis’ recommendation to invest, many of them involving real estate and real estate investment trusts (REITs).

Andrew Pandis was affiliated with Essex National Securities from 2006 to July 2016. He later worked for Infinex Investments from July 2016 to December 2017, and he has been registered with Cetera Investment Services since December 2017. He worked in offices in Astoria and New York City.

Brokerage firms have obligations to reasonably supervise the conduct of their advisors. If they fail to do so, the firm could be liable for investor losses. Israels & Neuman has represented over 1,000 investors against many different firms in the past, including against Essex National Securities and Infinex Investments.

You can find Andrew Pandis’s BrokerCheck Report HERE.

If you lost money with Andrew Pandis of Essex National Securities, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Are you a former customer of financial advisor Bryce Hamilton from Carmel by the Sea, California? Our investment fraud law firm is looking into allegations made against this advisor. He was permitted by LPL Financial to resign in October 2024 regarding allegations that he failed to timely report a customer complaint regarding conduct at prior firms.

The customer complaint alleged that Mr. Hamilton recommended an unsuitable investment in a private placements during 2021. He was affiliated with a few firms during 2021, including Kingswood Capital Partners, Financial Gravity Family Office Services, and Forta Financial Group in Carmel by the Sea, California. The customer alleged $300,000 in losses from these private placements.

Our firm has represented numerous investors throughout California and have sued dozens of brokerage firms in the past. We represent clients in all 50 states.

You can find a copy of Bryce Hamilton’s BrokerCheck report here.

If you lost money with Bryce Hamilton, Kingswood Capital Partners, Financial Gravity Family Office Services, or Forta Financial Group, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

ST. LOUIS, MISSOURI Are you a former client of financial advisor Akinfolarin Sessi in St. Louis, Missouri? Our law firm is looking into claims made against this advisor, who was kicked out of the securities brokerage industry by FINRA after he refused to cooperate with a FINRA investigation.

Sessi was fired by Edward Jones in August 2024 after he allegedly engaged in an undisclosed outside business activity. That triggered a FINRA investigation, and Mr. Sessi failed to respond to that investigation.

Akinfolarin Sessi was registered with Edward Jones from March 2018 to August 2024. He worked in St. Louis, Missouri.

Securities brokerage firms have to properly supervise their financial advisors. If the firm fails to do so, they could be liable for investor losses. Our law firm has represented over 1,000 investors in the past, including numerous investors in Missouri.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

If you lost money with Akinfolarin Sessi, or Edward Jones, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

NEW YORK, NY Did you lose money investing in Student Global LLC through Gustavo Dolfino, formerly with Silver Leaf Partners in New York, New York? He was recently barred from the securities industry by the Securities and Exchange Commission (SEC).

According to an October 2024 Order from the SEC, Mr. Dolfino raised about $20 million for an education-tech-startup company called Student Global LLC. The SEC alleges that he made material misrepresentations to investors about his prior entrepreneurial success, his own investment in the company, and his own net worth. In November 2023, Student Global was dissolved, leaving investors with significant losses.

Gustavo Dolfino was an affiliate of Silver Leaf Partners from 2014 to February 2024. He worked in a New York City office.

Our securities arbitration law firm represents clients all over the country, including investors in New York. We have represented over one thousand investors against numerous firms.

If you lost money with Gustavo Dolfino or Silver Leaf Partners, please Contact Us at (616) 280-4303 or (206) 795-5798 for a free evaluation of your case.

VIEW BROKERCHECK REPORT HERE

VIEW SEC ORDER HERE

KIRKLAND, WASHINGTON Were you a client of financial advisor William Carlton from Kirkland, Washington? Our securities arbitration law firm is looking into allegations made against William Carlton also known as Bill D. Carlton. In December 2023, he was fired by Cetera Advisors. Cetera Advisors had previously acquired First Allied Securities, and Carlton had been affiliated with First Allied from 2008 to September 2022.

Cetera Advisors terminated William Carlton regarding allegations that he engaged in “inappropriate trading practices”, according to FINRA BrokerCheck. Moreover, in September 2024, he was the subject of a complaint made by the Securities and Exchange Commission (SEC). The SEC alleged that he engaged in “cherry picking”, in which he allocated profitable trades to his own account while putting losing trades in the accounts of his customer. The SEC complaint alleged that this scheme caused him to profit $5.3 million from trades while costing his clients $6.4 million in losing trades.

Bill D. Carlton had been with Cetera Advisors from September 2022 to December 2023 and with First Allied Securities from 2008 to September 2022. He worked in Kirkland and Bellevue, Washington branch offices.

Brokerage firms must have written supervisory and compliance procedures, under securities rules and regulations, to monitor their advisors’ conduct. If they fail to reasonably supervise their advisors, they may be liable for customer losses.

Attorney David Neuman is licensed to practice law in Washington and has an office in Seattle. Our firm has represented numerous investors throughout Washington and have sued dozens of brokerage firms in the past.

View BrokerCheck report here. View SEC Complaint here.

If you lost money with William Carlton or Cetera Advisors, please Contact Us at 206-795-5798 for a free evaluation of your case.

JACKSONVILLE, ILLINOIS Are you a former customer of financial advisor James Martin also known as Jamie Martin, from Jacksonville, Illinois? Our investment fraud law firm is looking into allegations made against this advisor. In July 2024, he was fired by Berthel Fisher regarding allegations that he borrowed money from clients. With limited exceptions, financial advisors generally are not allowed to borrow money from clients.

After his termination by Berthel Fisher, FINRA initiated an investigation. Mr. Martin refused to cooperate with FINRA, so he was barred from the securities brokerage industry.

James Martin or Jamie Martin, had been with Berthel Fisher from March 2003 to July 2024. He also worked at Jacksonville Savings Bank. Mr. Martin is also being sued by Bankers Healthcare Group in state court in New York.

Berthel Fisher is a FINRA member firm and must have written supervisory and compliance procedures, under securities rules and regulations. If this firm failed to reasonably supervise Martin, it may be liable for customer losses.

Our firm has represented numerous investors throughout Illinois and have dozens of brokerage firms in the past. Attorney David Neuman grew up in the Chicago area and went to the University of Illinois.

VIEW BROKERCHECK REPORT HERE.

VIEW FINRA AWC HERE.

If you lost money with James Martin or Berthel Fisher, please Contact Us at 206-795-5798 for a free evaluation of your case.

NEW YORK, NY Have you invested with financial advisor Richard Jackson from New York, New York? This advisor was suspended for one month by FINRA. FINRA began its investigation after he was terminated by Equity Services. He was alleged to have made promissory, exaggerated and unwarranted representations about investments to at least twenty customers. FINRA alleged that these representations violated FINRA Rule 2210.

Richard Joseph Jackson held his securities license with Equity Services from October 2018 to November 2022. He worked in New York, New York. He also had three tax liens dating back to 2013.

Under FINRA Rule 3111, this brokerage firm is required to have written supervisory and compliance procedures to monitor the conduct of its advisors. If the firm failed to reasonably supervise its advisor, it may be liable for customer losses.

Our firm has represented numerous investors throughout New York and have sued dozens of brokerage firms in the past.

VIEW BROKERCHECK REPORT HERE. VIEW FINRA AWC HERE.

If you lost money with Richard Jackson or Equity Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

ALBANY, NEW YORK Are you a former customer of financial advisor Ross Fabregas from Albany, New York? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against this advisor. In May 2024, he was fired by his brokerage firm, LPL Financial.

LPL Financial terminated Mr. Fabregas regarding allegations that he “borrowed” $15,000 from a customer and did not pay it back. Generally, financial advisors cannot borrow money from clients, with limited exceptions. He also had three tax liens against him in late 2022 and 2023.

Ross R. Fabregas was with LPL Financial from November 2020 to May 2024. He also previously worked with Cambridge Investment Research, and worked in an Albany, New York branch office.

FINRA member firms must have written supervisory and compliance procedures, under securities rules and regulations. If the firm failed to reasonably supervise its financial advisor, it may be liable for customer losses.

Our firm has represented numerous investors throughout New York and have sued multiple brokerage firms in the past.

VIEW BROKERCHECK REPORT HERE.

If you lost money with Ross Fabregas or LPL Financial, please Contact Us at 206-795-5798 for a free evaluation of your case.

LITTLE ROCK, ARKANSAS Are you a former customer of Alton Raney, formerly with LPL Financial in Little Rock, Arkansas? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made by the Arkansas Securities Department against Alton B. Raney II.

Arkansas investigated Mr. Raney regarding allegations that he engaged in short-term trading of mutual funds in a customer’s accounts during 2022. It was alleged that the short-term trading of mutual funds with large upfront commissions caused unnecessary charges to the customer. See Complaint and BrokerCheck Report linked below.

Alton B. Raney II was a representative of LPL Financial in Little Rock, Arkansas from December 2018 to April 2023. He then joined St. Bernard Financial from September 2023 to May 2024 in Russellville. He also had a tax lien against him in 2023.

Pursuant FINRA Rule 3110, securities brokerage firms must adequately supervise their representatives. If firms like LPL Financial fail to provide sufficient supervision, the firms could be held responsible for financial damages.

If you lost money with Alton Raney or LPL Financial, please Contact Us at 206-795-5798 for a free evaluation of your case.

View Complaint HERE View FINRA BrokerCheck Report HERE

GRAND RAPIDS, MICHIGAN Have you invested with advisor Jody Vander Weide from Grand Rapids, Michigan? Mr. Vander Weide was fired by his brokerage firm, Sigma Financial, in March 2024. According to FINRA’s BrokerCheck Report (linked below), he was fired regarding allegations that he engaged in an undisclosed outside business activity as an unlicensed investment adviser representative.

Jody Vander Weide worked in a Grand Rapids, Michigan office and was licensed with Sigma Financial from 2006 to March 2024. He then started with Osaic Wealth in July 2024.

Brokers are required to disclose outside business activities pursuant to FINRA Rule 3270. Moreover, under FINRA Rule 3110, Sigma Financial is required to have written supervisory and compliance procedures. If the brokerage firm failed to reasonably supervise its Agent, it may be held liable for customer losses.

Our firm has represented numerous investors throughout Michigan and have sued dozens of brokerage firms in the past. Attorney Aaron Israels is licensed to practice law in Michigan and grew up in Holland, Michigan.

VIEW BROKERCHECK REPORT HERE.

If you lost money with Jody Vander Weide or Sigma Financial, please Contact Us at (720) 599-3505 or (206) 795-5798 for a free evaluation of your case.

BETHESDA, MARYLAND Are you a former customer of financial advisor Courtney Smith from Bethesda, Maryland? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against this advisor. She was fired by Spire Securities Financial Services in March 2024 after it was alleged that she transferred funds from at least one client’s account, without authorization, to one of her own accounts. Additionally, Ms. Smith is suspended by FINRA for refusing to respond to a FINRA investigation.

Courtney Smith had been with Spire Securities from March 2022 to March 2024. She also previously worked with Hightower Securities and worked in Bethesda, Maryland and McLean, Virginia.

Brokerage firms are required to have written supervisory and compliance procedures under securities rules and regulations. If the brokerage firm failed to reasonably supervise their advisor, it may be held liable for customer losses.

Our investment fraud firm has represented numerous investors throughout Maryland and have sued dozens of brokerage firms in the past.

View Brokercheck Report Here.

If you lost money with Courtney Smith or Spire Securities, please Contact Us at 206-795-5798 for a free evaluation of your case.

LAUDERDALE BY THE SEA, FLORIDA Are you a former customer of Lawrence Roger Rice, formerly with Centaurus Financial, in Lauderdale by the Sea, Florida? FINRA’s BrokerCheck Report (linked below) shows that he was “permitted to resign” by the brokerage firm in February 2024. He had been licensed with Centaurus Financial since October 2022, as well as Cetera Advisors and First Allied Securities prior to that.

The BrokerCheck Report reveals that Centaurus Financial terminated Mr. Rice after he failed to timely disclose a civil action filed against him. FINRA then barred him from the securities industry after failing to respond to the investigation.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Seattle, and Phoenix. Attorney David Neuman is licensed to practice law in Florida. We represent investors all over the country, including investors in Florida.

View FINRA AWC here View BrokerCheck Report here

If you lost money with Lawrence Roger Rice or Centaurus Financial, please Contact Us at 206-795-5798 for a free evaluation of your case.

GARDEN CITY, NEW YORK Did you lose money with financial advisor John Christoforidis, formerly with Spartan Capital Securities in Garden City, New York? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by FINRA against Mr. Christoforidis. FINRA barred him from the securities industry when he failed to respond to a FINRA investigation in August 2024. FINRA was looking into allegations of potential sales violations by this advisor.

From July 2016 to August 2024, John Christoforidis was a representative of Spartan Capital Securities. He worked in a Garden City, New York office.

Israels & Neuman is an investment fraud law firm that represents clients throughout the U.S., including investors in New York. We also have previously represented thousands of investors against multiple securities brokerage firms around the country.

View FINRA AWC HERE. View BrokerCheck Report HERE.

If you lost money with John Christoforidis or Spartan Capital Securities, please Contact Us at 206-795-5798 for a free evaluation of your case.

WEATHERFORD, TEXAS Did you invest with Debra Mae Carter in Weatherford, Texas? She previously worked with KMS Financial, and was recently sentenced to life in prison for her role in William “Doc” Gallagher’s Ponzi scheme. Over $30 million was stolen from victims in Gallagher’s scheme.

Debra Mae Carter was licensed in the securities industry from 1983 to April 2018 and worked in Weatherford, Texas. She was a representative of KMS Financial from April 2015 to April 2018.

KMS Financial was a securities brokerage firm based in Seattle and had obligations to reasonably supervise Ms. Carter’s conduct under FINRA rules. If they failed to do so, the brokerage firm can be liable for investor losses.

View BrokerCheck Report HERE.

If you lost money with Debra Mae Carter or KMS Financial, please Contact Us at 206-795-5798 for a free evaluation of your case.

TUCSON, ARIZONA Are you a former client of Ronald Diaz of Morgan Stanley in Tucson, Arizona? He was charged with wire fraud by the U.S. Attorney’s Office for the District of Arizona and recently pleaded guilty to the charges. His sentencing hearing is set for September 27, 2024.

According to the U.S. Attorney’s office, Diaz misappropriated $970,000 from an elderly customer between November 2020 and July 2022. Diaz represented that he was investing the money in an annuity, but instead used the money to pay for a Range Rover, credit card debt, his mortgage, and remodeling his swimming pool.

Ronald Diaz worked in Tucson, Arizona and was licensed with Morgan Stanley June 2019 to January 2023.

Morgan Stanley had obligations to reasonably supervise Mr. Diaz’s conduct. If the firm failed to do so, they can be liable for investor losses.

The U.S. Attorneys Office Press Release regarding Ronald Diaz can be found HERE.

BrokerCheck report can be found HERE.

If you lost money with Ronald Diaz or Morgan Stanley, please Contact Us at 206-795-5798 for a free evaluation of your case.

MOORESVILLE, NORTH CAROLINA Did you lose money with financial advisor Garrett Moretz with Lifemark Securities in Mooresville, North Carolina? He was recently charged with fraud by the Securities and Exchange Commission (SEC).

The SEC filed a complaint against this advisor, alleging that he repeatedly misrepresented the risks of investing in GWG L Bonds. Mr. Moretz represented to customers that the L Bonds were “guaranteed” and safe. GWG filed for bankruptcy in 2022, wiping out nearly all of investors’ interest in the L bonds.

Garrett Moretz has been an affiliate of Lifemark Securities since May 2017. He worked in a Mooresville, North Carolina office. He has also been the subject of four customer complaints since 2022, all of which involve the sales of GWG products.

Our securities arbitration law firm represents clients all over the country, including investors in North Carolina. We have represented thousands of investors against numerous firms and have represented several investors who lost money investing in these Bonds.

If you lost money with Garrett Moretz or Lifemark Securities, please Contact Us at 206-795-5798 for a free evaluation of your case.

View BrokerCheck report HERE View SEC Complaint HERE