OKLAHOMA CITY, OK Were you a client of financial advisor David Love from Oklahoma City, Oklahoma? Our securities arbitration law firm is looking into allegations made against this advisor. He was fired by LaSalle Street Securities in May 2024 regarding allegations that he violated the “rules of supervisory procedures” for LaSalle Street Securities.

That triggered an investigation by FINRA. After Mr. Love failed to respond to FINRA’s investigation, he has since been indefinitely suspended from the securities industry. Then in October 2024, He was the subject of a customer complaint, alleging that the customer sent money to Love that was supposed to be used to invest in a crypto trading strategy. The customer seeks $850,000 in damages.

David Jerry Love had been with LaSalle Street Securities from September 2021 to May 2024. He worked in an Oklahoma City, Oklahoma branch office. He had also been the subject of three prior customer complaints from 2009 to 2011.

LaSalle Street Securities must have written supervisory and compliance procedures, under securities rules and regulations, to monitor their advisors’ conduct. If they failed to reasonably supervise their advisor, the firm may be liable for customer losses.

You can find a copy of David Love’s BrokerCheck report here.

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

CHICAGO, ILLIONOIS Did you invest with financial advisor Howard Kavinsky in Chicago, Illinois? Israels & Neuman is reviewing claims made by FINRA against Howard Kavinsky, who was a representative of B. Riley Wealth Management and National Securities Corp. Near the end of 2024, he was barred from the securities brokerage industry by FINRA regarding numerous allegations.

FINRA alleged that this advisor created consolidated reports that contained false information, including overstating account balances. The consolidated reports also showed investments in a purported hedge fund, even though Kavinsky did not invest the customers’ money in a hedge fund. He also allegedly provided false information to FINRA as part of its investigation.

Howard Kavinsky was registered with National Securities Corp. from July 2019 to July 2022 and with B. Riley Wealth Management from July 2022 to June 2024 and worked in Chicago, Illinois. He was also the subject of several liens, settlements, and compromises with creditors between 2017 and 2019.

Broker-dealers like B. Riley Wealth Management and National Securities Corp. must reasonably monitor its advisors. If the firm fails to do so, they could be liable for investor losses.

Israels & Neuman have an office in Chicago. Attorneys Aaron Israels and David Neuman are both licensed to practice law in Illinois and the U.S. District Court for the Northern District of Illinois. Mr. Neuman grew up in the Chicago area and went to the University of Illinois.

FINRA’s AWC Regarding Howard Kavinsky can be found HERE

Howard Kavinsky’s BrokerCheck Report can be found HERE

If you lost money with Howard Kavinsky, National Securities Corp., or B. Riley Wealth Management, 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 advisor Mary Beslagic, formerly with Edward Jones in Manchester, Washington? Our investment fraud law firm is reviewing claims made against this advisor, who was suspended by FINRA from the securities industry for two months and was fined $5,000.

FINRA’s AWC alleges that two of her customers had taken out a $220,000 home equity loan to remodel their home. Knowing this, Ms. Beslagic recommended that the customers invest that money in mutual funds. As the mutual funds declined in value, the customers sold their investments at a loss and had to take out margin loans to meet short-term liquidity needs. FINRA has warned financial advisors going back to 2004 that using home equity to invest is not suitable for most investors.

From August 2011 to August 2023, Mary Beslagic was a representative of Edward Jones. She worked in a Manchester, Washington office. She was also the subject of a customer complaint.

Israels & Neuman is an investment fraud law firm that represents clients in all 50 states including investors in Washington. Attorney Dave Neuman has an office in Seattle and is licensed to practice law in Washington.

To see the FINRA AWC against Mary Beslagic, please click HERE.

You can find Mary Beslagic’s BrokerCheck Report HERE.

If you lost money with Mary Beslagic 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.

FARMERS BRANCH, TEXAS Did you invest with financial advisor Kenneth Judd in Farmers Branch, Texas? Our securities arbitration law firm is looking into claims made against this advisor, who previously worked for Valkyrie Equities. He was expelled from the securities brokerage industry by FINRA after he refused to cooperate with a FINRA investigation.

Mr. Judd was allowed to resign by Valkyrie Equities in December 2023, regarding allegations of his “knowingly breaking escrow when funds were not raised and questions being raised around two key violations” in connection with the sale of a Reg. D or private offering. That led to the investigation by FINRA.

Kenneth Joseph Judd was registered with Valkyrie Equities from May 2019 to December 2023. He worked in Farmers Branch, Texas.

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 Texas.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

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

CRANBURY, NEW JERSEY Are you a former client of financial advisor Kittiany Davis Barrios in Cranbury, New Jersey? Our securities arbitration law firm is looking into claims made against this advisor, who had been a representative of PNC Investments from March 2019 to January 2024. FINRA barred her from the securities industry after she refused to continue cooperating with an investigation.

It was alleged by PNC Investments that she engaged in an undisclosed outside business activity or private securities transaction, which led to her termination. Upon termination, FINRA then began its own investigation into these allegations.

Investment firms are required to properly supervise the conduct of its financial advisors. If the firm fails to do so, they could be liable for investor losses.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

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

CASTLE ROCK, COLORADO Did you invest with former financial advisor and stockbroker Sanford Simmons in Castle Rock, Colorado? Israels & Neuman is reviewing claims made against this advisor, who was licensed with a number of firms, including Provasi Capital Partners, Patrick Capital Markets, Wealthforge Securities, Colorado Financial Service Corp., and Saxony Securities. He was barred from the securities industry by FINRA when he refused to respond to a FINRA investigation.

Simmons was the subject of a September 2024 complaint, where a customer alleged that he caused $1.8 million in losses related to private real estate investments. He was then barred from the securities industry by FINRA in October 2024.

Sanford G. Simmons was registered with Provasi Capital Partners, Patrick Capital Markets, Wealthforge Securities, Colorado Financial Service Corp., and Saxony Securities. Simmons worked in Castle Rock, Colorado.

Securities firms have a responsibility to reasonably supervise the conduct of its advisors. If they don’t, they could be liable for investor losses. Our law firm that has represented over 1,000 investors in the past, including numerous investors in Colorado.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

If you lost money with Sanford Simmons, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

BEVERLY HILLS, CALIFORNIA Did you invest with financial advisor Robert Daly in Beverly Hills, California? Our securities arbitration law firm is looking into claims made against this advisor, who was previously registered with Morgan Stanley from February 2016 to March 2023. He was expelled from the securities brokerage industry by FINRA after he refused to cooperate with a FINRA investigation.

Robert Daly was the subject of two customer complaints made in July and September 2024. FINRA also received a tip related to a possible undisclosed private securities transaction, which means that he may have sold investments that were not authorized by Morgan Stanley.

Robert Anthony Daly was registered with Morgan Stanley, as well as with Xtellus Capital Partners. He worked in Beverly Hills, California. The September 2024 complaint alleges that he sold investments in First Republic Bank.

Securities brokerage firms have to sufficiently supervise the conduct of their financial advisors. If the firm fails to do so, they could be liable for investor losses. Our law firm that has represented thousands of investors in the past, including numerous investors in California.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

If you lost money with Robert Daly, or Morgan Stanley, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

PENNINGTON, NEW JERSEY Were you a customer of financial advisor Elan Sanker? Israels & Neuman is looking into allegations against this advisor, who previously worked in Pennington, New Jersey.

Mr. Sanker was barred by FINRA after he refused to respond to an investigation. FINRA began its investigation when he was terminated by his brokerage firm, Merrill Lynch, in May 2023. A customer filed a complaint in February 2023, alleging that he engaged in “selling away” – selling investments that were not approved or authorized by the firm, which led to Sanker’s termination in May 2023, followed by FINRA’s investigation.

Elan Sanker was registered with Merrill Lynch from November 2018 to May 2023. He also previously worked with Northwestern Mutual in Pennington, New Jersey.

Israels & Neuman has represented thousands of investors in the past, including investors in New Jersey. Our firm has sued many brokerage firms throughout the country.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

If you lost money with Elan Sanker, or Merrill Lynch, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

PLAINFIELD, ILLINOIS Did you invest with former financial advisor and stockbroker Brian Scott Graham in Plainfield, Illinois? Israels & Neuman is reviewing claims made against this advisor, who was licensed with Cetera Advisor Networks from 2013 to April 2024. He was barred from the securities industry by FINRA when he refused to respond to a FINRA investigation.

Mr. Graham was under a FINRA investigation after he was allowed to resign by Cetera Advisor Networks. Cetera had received a customer complaint alleging that he made unauthorized ATM withdrawals.

Brian Scott Graham was registered with Cetera Advisor Networks. He worked in Plainfield, Illinois.

Cetera Advisor Networks has an obligation to reasonably supervise the conduct of its advisors. If they don’t, they could be liable for investor losses. Our law firm that has recovered millions of dollars for investors in the past, including numerous investors in Illinois. Attorney David Neuman grew up in the western suburbs of Chicago and is licensed to practice law in Illinois.

VIEW FINRA AWC HERE VIEW BROKERCHECK REPORT HERE

If you lost money with Brian Graham, or Cetera Advisor Networks, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

GRAND RAPIDS, MICHIGAN Did you invest with advisor Maria De Los Angeles Leon in Grand Rapids, Michigan? Israels & Neuman is reviewing claims made against this advisor, who was affiliated with PNC Investments from June 2022 to September 2024. She was barred from the securities industry by FINRA when she refused to respond to a FINRA investigation.

Ms. Leon was under a FINRA investigation after she was fired by PNC Investments. It was alleged that she misappropriated or stole customer funds.

Maria De Los Angeles Leon was registered with PNC Investments. She was also previously registered with J.P. Morgan and worked in Grand Rapids, Michigan and Chicago, Illinois.

PNC Investments has an obligation to reasonably supervise the conduct of its advisors. If they don’t, they could be liable for investor losses. Our law firm that has recovered millions of dollars for investors in the past, including numerous investors in Michigan. Attorney Aaron Israels grew up in nearby Holland, Michigan and is licensed to practice law in Michigan.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

If you lost money with Maria De Los Angeles Leon, or PNC Investments, contact the law firm of ISRAELS & NEUMAN 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.

CLAREMONT, CALIFORNIA Did you invest with Rosaline Alam in Claremont, California? Our investment fraud law firm is reviewing allegations against this advisor, who was previously licensed with Pruco Securities (Prudential). She was expelled from the securities brokerage industry in June 2024 by FINRA after she failed to respond to FINRA’s investigation.

In November 2023, Pruco Securities disclosed to FINRA that Ms. Alam allegedly misappropriated funds from an elderly customer and was named as a beneficiary in the customer’s will. This prompted the investigation by FINRA. When she failed to respond to the investigation, FINRA barred her in June 2024. In addition, she has also been the subject of a December 2023 customer complaint.

Rosaline Alam was registered with Pruco Securities from August 2016 to October 2023. She was also affiliated with Lincoln Investments and worked in Claremont, California.

Our investment fraud and securities arbitration law firm has recovered millions of dollars for investors in the past, including numerous investors in California. We have represented investors against numerous brokerage firms.

FINRA AWC can be found HERE BrokerCheck Report can be found HERE

If you lost money with Rosaline Alam, or Pruco Securities, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

GOODYEAR, AZ Did you invest with Charles Wodrich, formerly with Hornor Townsend & Kent in Goodyear, Arizona? Our securities arbitration firm is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against this advisor. FINRA brought a complaint seeking to bar him from the securities industry.

FINRA began investigating Mr. Wodrich after he was terminated by Hornor Townsend & Kent. It was alleged that he used an unapproved email address to communicate with clients; that he used discretion in customer accounts; and that he failed to timely forward a customer complaint. Wodrich has yet to respond to FINRA’s complaint.

Charles Wodrich also known as “Chip”, had been an advisor with Hornor Townsend & Kent from 2013 to August 2022 in a Goodyear, Arizona office. He has also been the subject of three customer complaints, the most recent of which was made in 2022.

FINRA Rule 8210 provides that advisors are required to respond to FINRA investigations. Additionally, under FINRA’s supervisory rules, securities brokerage firms must adequately supervise their representatives. If brokerage firms fail to provide sufficient supervision, the firms could be responsible for financial damages.

Our firm has an office in Phoenix, Arizona and regularly represents investors in the greater Phoenix area. Moreover, attorney Aaron Israels is licensed to practice law in Arizona.

If you lost money with Chip Wodrich or Hornor Townsend & Kent, please Contact Us at 206-795-5798 for a free evaluation of your case.

View FINRA Complaint HERE View BrokerCheck Report HERE

POUGHKEEPSIE, NEW YORK Did you invest with Kwame Adusei in Poughkeepsie, New York? Israels & Neuman is reviewing allegations with respect to Kwame Adusei, who previously was licensed with Morgan Stanley. He was expelled from the securities brokerage industry in March 2024 by FINRA after he failed to respond to FINRA’s investigation.

In July 2023, Adusei was fired by Morgan Stanley regarding allegations that he made unauthorized transactions in a customer account and participated in an outside residential property investment. This prompted FINRA to begin its investigation in December 2023. When he failed to respond to FINRA’s investigation, he was barred in March 2024. In addition, he has also been the subject of two customer complaints.

Kwame Adusei was registered with Morgan Stanley from January 2022 to July 2023. He was also previously affiliated with J.P. Morgan Securities and worked in Poughkeepsie, New York.

Our securities arbitration law firm has represented thousands of investors in the past against numerous brokerage firms.

BrokerCheck Report can be found HERE

If you lost money with Kwame Adusei, or Morgan Stanley, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

CORTLANDT MANOR, NEW YORK Have you lost money investing with financial advisor Jae Kim in Cortlandt Manor, New York? After Jae Kim failed to respond to FINRA’s inquiry, he was barred from the securities industry. FINRA Rule 8210 states that licensed advisors are required to respond to FINRA investigations.

FINRA began its investigation after he was the subject of a customer arbitration claim. The customer alleged $4 million in losses with respect to options and stocks. Jae Kim allegedly acknowledged FINRA’s request for information related to the customer complaint but would not provide FINRA with the information.

Jae Kim was licensed with E1 Asset Management from 2003 to March 2024. He worked in Cortlandt Manor, New York. In addition to the most recent customer complaint, he also has been the subject of eight other customer complaints and also filed for bankruptcy in January 2024.

Under FINRA’s Rules, E1 Asset Management must adequately supervise the acts of its representatives. If the brokerage firm fails to do so, it could be held responsible for investor losses. Our law firm has represented over 1,000 investors in the past, including numerous investors in New York.

View FINRA AWC HERE View BrokerCheck Report HERE

If you lost money with Jae Kim, or E1 Asset Management, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

COEUR D’ALENE, IDAHO Did you invest with financial advisor John Marcheso, currently affiliated with Centaurus Financial in Coeur D’Alene, Idaho? According to BrokerCheck, Marcheso has been the subject of four customer complaints filed within the last four years. The complaints make allegations regarding investments in oil and gas investments and real estate investments.

The most recent complaint was made in December 2023, alleging losses in illiquid real estate investments. The case is still pending with FINRA arbitration.

John Marcheso has been licensed with Centaurus Financial from 2000 to the present. He works in offices in Coeur D’Alene and Rathdrum, Idaho

The securities and investment fraud law firm of Israels & Neuman has offices in Denver, Seattle, Phoenix, and Ann Arbor, and we regularly represent investors in Idaho and eastern Washington. We also have previously represented numerous investors against countless securities brokerage firms around the country, including against Centaurus Financial.

View BrokerCheck Report HERE.

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

NEW YORK, NY Have you invested money with financial advisor Joao Pinto, with Spartan Capital Securities in New York, New York? Our securities arbitration law firm is reviewing claims made by FINRA against Joao A. Pinto. FINRA has suspended Pinto from the securities industry for three months.

According to FINRA’s AWC which was released in November 2023, Pinto allegedly excessively traded a customer’s account between January 2020 and June 2021. The customer lost $141,000 while Pinto generated over $83,000 in commissions. The account had a cost-to-equity ratio of 55%; this means that the account needed to generate a return of 55% just to break even from the costs of trading.

Joao Pinto was an affiliate of Spartan Capital Securities from October 2019 to the present. He worked in New York City. He was also the subject of a customer complaint in October 2022.

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 over one thousand investors against dozens of securities brokerage firms around the country.

View FINRA AWC HERE View BROKER CHECK REPORT HERE

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