Allegations Against Bradley Carrier

According to FINRA’s BrokerCheck, Synergy Investment Management fired Bradley Carrier in November 2025.  BrokerCheck discloses that he allegedly “directed non-clients to an outside investment opportunity, in violation of Firm policy”.

The report does not further disclose details about the outside investment.  However, generally licensed advisors are required to disclose all outside business activities to their firms.

History on Bradley Carrier

Bradley Carrier was licensed with Synergy Investment Management from April 2025 to November 2025 in Altamonte Springs, Florida.  He was also licensed with LPL Financial from April 2025 to December 2025. 

Can Synergy Investment Management or LPL Financial Be Responsible for Customer Losses?

FINRA Rule 3110 requires securities brokerage firms like LPL Financial to adequately supervise the activity of its advisors.  LPL Financial and Synergy Investment Management could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Law Firm Represents Investors in Florida

We represent investors throughout the United States as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  We have represented investors in Florida in the past  and Attorney David Neuman is licensed to practice law in Florida.  If you were a client of Bradley Carrier and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Carrier’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Call Israels & Neuman today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

Allegations Regarding Dustin Smith

According to FINRA’s BrokerCheck, in December 2025, a customer filed a FINRA arbitration matter against RBC Capital Markets related to advisor Dustin Smith in Naples, Florida.  The Claimant alleged that RBC Capital Markets and Dustin Smith “invested the entirety of the Claimant’s retirement assets in illiquid structured notes”.  The complaint alleged $2 million in losses from these structured notes.

Background on Dustin Smith

Dustin Smith was registered with RBC Capital Markets at a Naples, Florida office between 2015 and January 2025.  Since then, he has been licensed with Citizens Securities. 

Can RBC Capital Markets Be Responsible for Customer Losses?

Pursuant to FINRA Rule 3110, brokerage firms must adequately supervise the activity of their advisors.  RBC Capital Markets could be responsible for investor losses if it failed to reasonably supervise their advisors.

Israels & Neuman Helps Investors Recover Losses in Florida

We represent investors throughout the United States as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  We have represented numerous investors in Florida in the past, and attorney David Neuman is licensed to practice law in Florida.  If you were a client of Dustin Smith and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Smith’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Our highly specialized attorneys are ready to help you recover what you deserve.

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

Allegations Regarding Firing Mahmoud Elawadi

According to FINRA BrokerCheck, Wells Fargo fired Mood Elawadi regarding allegations that he “solicited and facilitated client investment in his outside business activity”.  Generally, advisors must disclose all outside businesses that they operate, and they must have permission from their brokerage firm for every investment product that they sell.

Mood Elawadi has been the subject of a customer complaint, alleging $1.5 million in losses.  The customer alleged that he “falsely induced their client to invest funds into a business owned by” Mr. Elawadi.

Background on Mahmoud Elawadi

Mahmoud Elawadi was licensed with Wells Fargo from February 2019 to December 2025 at an Orlando, Florida office.  Elawadi was also previously licensed with a handful of other firms since 2007.  He also ran two businesses called Mount Sinai Wealth Management and MMMH Trading.

Can Wells Fargo Be Responsible for Advisor Conduct?

FINRA Rule 3110 pertaining to supervision, requires securities brokerage firms like Wells Fargo to adequately supervise the activity of its advisors.  Wells Fargo could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Helps Investors in Florida

We represent investors throughout the United States including Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  Attorney David Neuman is licensed to practice law in Florida.  We have represented numerous investors in Florida in the past.  If you were a client of Mahmoud Elawadi and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Elawadi’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We have experience representing Florida investors and are ready to help you recover what you deserve.

Allegations Regarding the Expulsion

In January 2026, Fiallo agreed to the expulsion from FINRA, after it was alleged that she refused to cooperate fully with a FINRA investigation.  FINRA was looking into allegations that she borrowed money from a customer.  Generally, brokers cannot borrow money from customers, with limited exceptions.  It was further alleged that she has not repaid the money.

Background on Lyhen Fiallo

Lyhen Fiallo was licensed with PFS Investments from April 2020 to December 2024.   She worked in a Hialeah, Florida office.  She was also licensed to sell insurance through Primerica Financial Services.

Is PFS Investments Potentially Liable for Fiallo’s Conduct?

FINRA standards provide that brokerage firms like PFS Investments must reasonably supervise the activities of their financial advisors.   Firms that fail to do so could be responsible for investor losses. 

We Help Investors in Florida

We represent investors throughout the United States as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. If you were a client of Lyhen Fiallo and believe she acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Fiallo’s BrokerCheck Report
• View Fiallo’s FINRA AWC

Contact Israels & Neuman for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798

FINRA has initiated an investigation into Richard Routie of Orlando, Florida, regarding allegations that he “borrowed” money from customers.  In response, he refused to appear for an on-the-record interview, which led to him being barred from the securities industry.

Richard Routie Industry History

Richard S. Routie was affiliated with Cetera Financial Specialists from June 2023 to June 2025.  He was also previously licensed with Ameriprise Financial Services from 2011 to June 2023 and worked in an Orlando, Florida office.  Routie also ran a company called Seasons of Rhema, LLC. 

Cetera Financial Specialists’ Potential Responsibility

Under FINRA Rule 3110, broker-dealers like Cetera Financial Specialists must reasonably supervise the activities of their representatives.  If a firm does not adequately supervise their brokers or advisors, it could be liable for any investor harm.

Israels & Neuman Represents Clients in Florida

Our investment fraud law firm represents investors throughout the country as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you were a client of Richard Routie and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Richard Routie FINRA AWC
• View his BrokerCheck Report

Contact Us for a Free Case Evaluation

Our Arbitration cases are taken on a contingency fee basis, meaning you don’t have to pay us unless we successfully recover money for you!

Call us today at (720) 599-3505 or (206) 795-5798

In June 2025, Eric Fiallo of Hialeah, Florida was terminated by PFS Investments (Primerica) regarding allegations that he borrowed money from a securities customer.  Under FINRA Rule 3240, advisors are generally prohibited from borrowing money from clients, with limited exceptions.

That termination led FINRA to start its own investigation into Fiallo.  When he refused to produce documents to FINRA as part of its investigation, he was barred by FINRA.

Background on Eric Fiallo

Eric Fiallo was licensed with PFS Investments (Primerica) from 2008 to June 2025.  He worked in an office in Hialeah, Florida.  He was also the subject of a tax lien in 2024, and a small civil judgment in early 2025. 

Is PFS Investments Liable for Fiallo’s Conduct?

FINRA standards provide that brokerage firms like PFS Investments must reasonably supervise the activities of their financial advisors.   Firms that fail to do so could be responsible for investor losses. 

Israels & Neuman Helps Investors in Florida

We represent investors throughout the United States including Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  Attorney David Neuman is licensed to practice law in Florida. If you were a client of Eric Fiallo and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Fiallo’s BrokerCheck Report
• View Fiallo’s FINRA AWC

Contact Israels & Neuman for a Free Case Evaluation

All of our Arbitration cases are taken on a contingency basis, meaning that you don’t pay us unless we successfully recover money for you.

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

Carol Abdo-Brownsberger of Wells Fargo in Daytona Beach, Florida was fired by Wells Fargo in November 2023, regarding allegations that she “failed to obtain approval prior to opening and directing investments in an outside account and receiving a portion of a deceased clients assets”.   That also led to FINRA initiating its own investigation into these allegations.  In September 2025, Abdo-Brownsberger was suspended from the securities industry for six months and ordered to pay a $5,000 fine.  If you lost money, contact the securities and investment fraud law firm of Israels & Neuman at (720) 599-3505.

Background on Carol Abdo-Brownsberger

From 2008 to November 2023, Carol Abdo-Brownsberger was associated with Wells Fargo.  She worked in a Daytona Beach, Florida branch.  She also previously worked with A.G. Edwards and Dean Witter Reynolds. 

Is Wells Fargo Liable for Investment Losses?

As a broker-dealer, Wells Fargo has an obligation to reasonably monitor the conduct of its advisors under FINRA rules.  It could be liable if it failed to reasonably supervise her and her conduct.

Israels & Neuman Helps Investors in Florida

We represent investors throughout the United States, including Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. If you believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Abdo-Brownsberger’s FINRA AWC
• View Abdo-Brownsberger’s BrokerCheck Report

Contact Israels & Neuman for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

FINRA has brought a regulatory action against Dennis Herrera of Aegis Capital in Miami, Florida, alleging that he violated Regulation Best Interest (Reg BI) by excessively trading or churning two customers’ accounts.  If you lost money investing with Herrera, you may have legal options to recover your losses. The securities arbitration law firm of Israels & Neuman is reviewing a FINRA action involving Dennis Herrera, a former representative of Aegis Capital.

As evidence of the excessive trading, FINRA alleged that the two accounts had cost-to-equity ratios of 25% and 28% respectively.   This means that the accounts had to earn profits of 25% and 28% just to break even from the costs of trading, making it very difficult, if not impossible, for the investor to realize any gains.

Background on Dennis Herrera

Dennis Herrera had been a representative of Aegis Capital between March 2016 and October 2023.  He worked at a Miami, Florida and a New York City office.  He also operated companies called Nuday Capital and Nuday Assets.  Herrera was also the subject of a customer complaint made in 2020, which settled for $56,817.

What If I Have Investment Losses?

Florida investors have the right to pursue claims through FINRA arbitration, a legal forum designed to help recover funds lost due to broker misconduct or unsuitable investment recommendations.

Dennis Herrera may be individually liable for misrepresentation, unsuitable advice, or breach of fiduciary duty. However, Aegis Capital may also bear responsibility if they failed to properly supervise Herrera or ignored warning signs.

We Represent Investors in Miami and Across Florida

At Israels & Neuman, we have helped thousands of investors nationwide recover money lost to financial advisor misconduct and represent investors throughout Florida. Our attorneys have extensive experience handling claims involving Aegis Capital.

Find Herrera’s FINRA AWC here

Find Herrera’s BrokerCheck report here

Free Case Review — Speak to a Securities Fraud Attorney Today

If you invested with Dennis Herrera, contact us for a free case evaluation. Our attorneys are here to help you understand your rights and determine whether a claim through FINRA arbitration is right for you.

(720) 599-3505 or (206) 795-5798

Raymond James’ Allegations Regarding Firing Ruben Frezzotti

Information on Frezzotti’s termination is available on FINRA’s BrokerCheck.  According to a disclosure, Frezzotti was discharged when he was “alleged to have engaged in conduct inconsistent with firm policies applicable to an outside business activity related to real estate lending”. 

Background on Ruben Frezzotti

Ruben Frezzotti was licensed with Raymond James from February 2013 to September 2023 at a Coral Gables, Florida office.  He is now licensed as an investment advisory representative with International Assets Investment Management at a Homestead, Florida office.  Additionally, this advisor has been the subject of seven customer complaints during his tenure in the securities industry.

Is Raymond James Responsible for Frezzotti’s Conduct?

Under the auspices of FINRA Rule 3110, brokerage firms must sufficiently monitor the activity of its stockbrokers.  Raymond James could be liable if it failed to reasonably supervise him, considering factors such as the numerous customer complaints made against this advisor.

We Help Investors Nationwide, Including in Florida

We represent investors throughout the United States as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  Attorney David Neuman is licensed to practice law in Florida. If you were a client of Ruben Frezzotti and believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Frezzotti’s BrokerCheck Report

Contact Israels & Neuman for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

Shammi Samaroo Background

Shammi Samaroo was a representative of NYLife Securities from March 2016 to November 2024 and worked in a Sunrise, Florida office.  He was also licensed to sell insurance through NY Life Insurance.

NYLife Securities’s Potential Responsibility

Under FINRA Rule 3110, brokerage firms like NYLife Securities must reasonably monitor the activities of their representatives.  If the firms failed to adequately supervise Samaroo, they could be liable for any investor harm.

Our firm represents investors throughout the country as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. Attorney David Neuman is licensed to practice law in Florida.  If you were a client of Shammi Samaroo and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Shammi Samaroo FINRA AWC
• View his BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to speak directly to an experienced attorney.

In August 2022, Merrill Lynch filed a Form U5 with FINRA, which disclosed that Merrill Lynch was looking into whether Magruder accepted a loan from a customer without seeking firm approval.  In July 2024, Raymond James terminated him surrounding allegations that he accepted loans from customers.

These incidents led to a FINRA investigation.  FINRA alleged that Magruder failed to adequately respond to its investigation, which led to his expulsion from the securities industry pursuant to FINRA Rule 8210.

About Advisor Michael Magruder

Michael Magruder was a representative of Merrill Lynch from August 2015 to July 2021 and worked in a Destin, Florida office.  He then worked with Raymond James from July 2021 to July 2024 in an Orlando office.  Since July 2024, he has been affiliated with Chiron Capital Management in Tallahassee.

Magruder has been the subject of three customer complaints since 2024, two of which settled for a combined $220,000.  The third complaint is still pending.  Raymond James and Merrill Lynch have also both sued this advisor. 

Liability of Merrill Lynch and Raymond James

Under FINRA Rule 3110, brokerage firms like Merrill Lynch and Raymond James have to sufficiently monitor the activities of their representatives.  If the firms failed to adequately supervise Magruder, they could be liable for any investor harm.

Our firm represents investors throughout the country as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. Attorney David Neuman is licensed to practice law in Florida.  If you were a client of Michael Magruder and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Michael Magruder FINRA AWC
• View his BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

FINRA, the Financial Industry Regulatory Authority, runs a database called BrokerCheck, which shows disciplinary and complaint histories of financial advisors.  BrokerCheck show that Marco Oreamuno has been the subject of two customer complaints made in late 2024.  Both complaints allege that Oreamuno made unauthorized trades, which caused significant financial losses.  Neither complaint was filed in FINRA arbitration, but both complaints were still unresolved as of June 2025. 

Marco Oreamuno’s Background

Marco Oreamuno has been an advisor with Bolton Global Capital since January 2019.  Oreamuno was also previously affiliated with Morgan Stanley and Merrill Lynch.  He has worked in a Miami, Florida office on Brickell Avenue.  In addition to the two customer complaints mentioned above, Oreamuno was also the subject of a complaint made in 2016, which settled for $35,000.

Bolton Global Capital’s Potential Responsibility

FINRA provides numerous rules and regulations governing the securities brokerage industry.  Generally, financial advisors must get permission from a customer to make each and every trade in an account.  However, this does not apply where the financial advisor has written permission, or discretion, to make trades in a customer account without specific approval to do so. 

In addition, a brokerage firm must sufficiently monitor the conduct of its financial advisors like Marco Oreamuno.  The firm can be responsible for investor losses if it failed to adequately supervise the broker’s conduct.  We regularly represent investors in FINRA arbitration who have been wronged by their financial advisors and stock brokers.

How We Can Help You Recover Money

Our firm has recovered millions of dollars for wronged investors across the country. We have brought claims against a wide range of brokerage firms.

We offer free case evaluations, and if we take your case, we do so on a contingency fee basis—which means there are no attorney fees unless we recover money for you.

Contact Us for a Free Consultation

If you lost money investing with Marco Oreamuno or Bolton Global Capital, give us a call.

(720) 599-3505 or (206) 795-5798
Visit our website to learn more and schedule your free consultation.

Allegations by FINRA Against Jose Quinones

Jose Quinones was “permitted to resign” by PFS Investments (also known as Primerica Financial) in December 2024.  In a filing with FINRA, PFS Investments alleged that Quinones “was under internal review for potential involvement with an undisclosed outside business activity, Next Level Holdings, at the time he terminated for failure to renew his securities registration. The representative denied involvement in Next Level Holdings.” 

That filing led FINRA to start its own investigation into the allegations regarding Quinones and Next Level Holdings.  After FINRA sent requests for documents and information to Quinones, he refused to respond, which led to him being barred.

Information on Jose Quinones

From September 2014 to December 2024, Jose Quinones had been a representative of PFS Investments.  He was assigned to a Kissimmee, Florida office. 

Responsibility for Quinones’s Conduct

Generally, financial advisors must disclose all business activities to their brokerage firm, especially if it involves securities or investments.  Failure to disclose outside business activities are often grounds for termination from a firm.  Moreover, firms cannot simply rely on disclosures from advisors – they must adequately supervise the advisor’s conduct.  If the firm fails to do so, it could be responsible for any investor losses.

We Help Investors in Florida

Attorney David Neuman is licensed to practice law in Florida, and we regularly represent Florida investors, including in the greater Orlando area.  If you were a client of Jose Quinones and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Jose Quinones FINRA AWC
• View his BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more.

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Former Customer Filed a Case Against Olinger

According to news articles, Patricia Shively was an investor in Celebration Pointe.  Will Olinger and his firm, Koss Olinger, were alleged to have sold investments in Celebration Pointe to Ms. Shively.  Three companies surrounding Celebration Pointe filed for bankruptcy in 2024, which decimated investors’ investments in Celebration Pointe. 

The lawsuit alleged that Olinger needed Celebration Pointe to be successful because Olinger had his other clients invested in the same.  The lawsuit also names Svein Dyrkolbotn and Viking Companies as parties and alleges that Olinger failed to disclose his relationship with Dyrkolbotn.   According to the allegations, Celebration Pointe Plaza would have floundered years ago without infusions of cash from Ms. Shively.

Will Olinger’s Financial Industry History

Will Olinger was licensed with Valmark Securities from 1999 to February 2025, where he worked in a Gainesville, Florida office.  He also ran Koss Olinger Consulting, which is a registered investment adviser. 

Can Valmark Securities Be Liable for Olinger’s Conduct?

Pursuant to FINRA rules, as well as securities rules and regulations, firms like Valmark Securities are required to reasonably supervise its advisors or stockbrokers.  The firm could be liable if it failed to reasonably supervise Mr. Olinger.

We Help Investors Nationwide, Including in Florida

Israels & Neuman represents investors throughout the United States as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  Attorney David Neuman is licensed to practice law in Florida.  If you were a client of Will Olinger and believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Olinger’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We represent Florida investors and are ready to help you recover what you deserve.

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.

Have you invested in REITs through D.H. Hill Securities? Our securities arbitration law firm is looking into claims made against this advisor, who has been with D.H. Hill Securities since 2009.

Robert Dechick has been the subject of five customer complaints since 2020, including two complaints that were made since July 2023. The two recent complaints both allege that Dechick recommended unsuitable investments in real estate investments, and one of the two complaints also complains about an equipment leasing investment. Both complaints are still pending.

Robert Dechick has worked in Clermont, Florida and has been in the securities industry since 2000. He is also affiliated with D.H. Hill Advisors, an investment advisory firm that is affiliated with D.H. Hill Securities.

You can see Robert Dechick’s BrokerCheck Report HERE.

If you lost money with Robert Dechick, D.H. Hill Securities or in real estate investments, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Did you invest in Activision bonds with financial advisor Drew Matthew Peacock? The securities and investment fraud law firm of Israels & Neuman is looking into allegations against this advisor, who previously worked with Ameriprise Financial Services from October 2019 to April 2024 in Pensacola, Florida.

Drew Matthew Peacock (also known as Matt Peacock), has been the subject of six customer complaints, five of which were made in 2024. Each of the 2024 complaints makes allegations regarding corporate bonds that he purchased on behalf of customers. Specifically, some customers complained that Peacock purchased Activision bonds without their authorization during 2022 and 2023. According to BrokerCheck, Ameriprise has already settled with several customers regarding their investment in Activision bonds.

Drew Matthew Peacock has been registered with Ameriprise Financial Services before being discharged by the firm in 2024. He worked in Pensacola, Florida.

Israels & Neuman is a securities arbitration law firm and has represented over 1,000 investors in the past, including investors in Florida. Attorney David Neuman is licensed to practice law in Florida. Our firm has sued many brokerage firms throughout the country, including Ameriprise Financial Services.

Drew Peacock’s BrokerCheck Report can be found HERE

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

Have you suffered financial losses with advisor Matthew Turner, formerly of Westpark Capital in Boca Raton, Florida? Our investment fraud law firm is currently examining claims filed by FINRA against this advisor. FINRA suspended him from the securities industry for five months and ordered him to pay $27,415 in restitution.

According to FINRA’s AWC, Turner is accused of excessively trading a client’s accounts from September 2018 to December 2020. This trading activity led to excessive commissions and resulted in $160,000 in losses across two customer accounts. One of these accounts had a cost-to-equity ratio exceeding 50%, indicating it would need a 50% profit just to cover the trading costs.

Matthew Ian Turner was affiliated with Westpark Capital from November 2012 until January 2025, operating out of their Boca Raton, Florida office. He has faced another customer complaint and filed for bankruptcy in 2015.

Israels & Neuman is an investment fraud law firm representing clients nationwide, including investors in Florida. We have previously assisted thousands of investors against various securities brokerage firms across the country.

To see the FINRA AWC against Matthew Turner, please click HERE.

You can find Matthew Turner’s BrokerCheck Report HERE.

If you lost money with Matthew Ian Turner or Westpark Capital, please Contact Us at (616) 280-4303 or (206) 795-5798 for a free evaluation of your case.

ORLANDO, FLORIDA Did you invest in crypto with financial advisor Sherwin Sargeant in Orlando, Florida? Israels & Neuman is looking into claims made by FINRA against this advisor, who was an affiliate of Planmember Securities. He was barred from the securities brokerage industry by FINRA after refusing to cooperate with a FINRA investigation.

FINRA’s Letter of Acceptance, Waiver, and Consent (AWC) alleges that Sargeant was being investigated for undisclosed outside business activities. In particular, FINRA was looking into his involvement with crypto investments. He then refused to comply with FINRA.

Sherwin Sargeant was registered with Planmember Securities from December 2019 to July 2023. He worked in Orlando, Florida. He also operated his own business called Retirement Planning Associates.

Planmember Securities has an obligation to reasonably monitor their financial advisors. If the firm fails to do so, they could be liable for investor losses. Attorney David Neuman is licensed to practice law in Florida, and we have represented over 1,000 investors against brokerage firms.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

If you lost money with Sherwin Sargeant, or Planmember Securities, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (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.