The final arbitration award was issued on January 28, 2026.

View the Arbitration Award Here

Claims Brought on Behalf of Multiple Investors

The investors, represented by Israels & Neuman, PLC, asserted claims including breach of fiduciary duty, failure to supervise, negligence, breach of contract, and violations of FINRA rules arising from multiple securities investments.

Nearly $9.5 Million Awarded, Plus Ongoing Interest

The arbitration award holds Camarda and A.G. Morgan jointly and severally liable for the majority of the damages, with McArthur and A.G. Morgan jointly liable for a smaller portion.

Individual investor awards ranged from tens of thousands of dollars to more than $2.5 million, with interest accruing daily until the amounts are fully paid. In total, the panel awarded $9,494,007 in compensatory damages, along with costs and fees. All but one of the investors represented recovered damages in the case.

Media Coverage Highlights Pattern of Misconduct

The arbitration decision was reported by Financial Advisor IQ, which noted that A.G. Morgan and its principals have lost multiple arbitration cases in recent months, resulting in millions of dollars in awards to investors.

The report further noted that Camarda has failed to pay multiple prior arbitration awards or settlements, and that the respondents are defendants in an ongoing SEC enforcement action alleging the sale of unregistered securities to hundreds of investors.

View the Financial Advisor IQ Article Here

Frequently Asked Questions

What is FINRA arbitration?
FINRA arbitration is a dispute resolution process used to resolve disputes between investors and brokerage firms or investment advisers. Arbitration decisions are final and binding.

What does “joint and several liability” mean?
Joint and several liability means each responsible party can be held liable for the full amount of the damages awarded, regardless of how responsibility is divided among them.

Why did the panel enter a default judgment?
The panel entered a default judgment after the respondents failed to comply with discovery obligations and failed to appear at scheduled hearings.

Does winning a FINRA arbitration guarantee recovery?
No. While an arbitration award establishes liability, investors may still face challenges collecting the awarded amounts, particularly when respondents have a history of unpaid awards.

How can investors determine whether they have a claim?
Investors who suffered losses due to unsuitable investments, misrepresentations, or supervision failures should consult with an experienced securities attorney to evaluate potential claims.

Israels & Neuman Represents Investors Nationwide

Aaron Israels, who is the managing partner of Israels & Neuman PLC, represents investors nationwide in FINRA arbitrations and securities fraud matters involving unsuitable investments, private placements, promissory notes, and supervision failures.

Call today for a Free and Confidential Case Review

All of our arbitration cases are taken on a contingency fee basis, meaning no up-front costs!  Call us to discuss your potential case and let us help you recover the money you deserve.

(720) 599-3505

Did you invest in First Liberty Building & Loan with Timothy Nathaniel Darnell, also known as Nathaniel Darnell, of Bankers Life Securities? The law firm of Israels & Neuman is looking into allegations involving this advisor, who formerly was a representative with Bankers Life Securities and worked in an Atlanta, Georgia office.  Darnell was fired in September 2025 by both Bankers Life Securities and Bankers Life Advisory Services.  He primarily goes by his middle name, Nathaniel.

Allegations Regarding Nathaniel Darnell

FINRA’s BrokerCheck discloses that Timothy Nathaniel Darnell was fired by Bankers Life Securities for the following: “1. Failure to disclose outside business activities (OBA), 2. Participation in undisclosed and unapproved private securities transactions (PST), 3. Use of off-channel communications with clients and not following firm policies and procedures related to such.”  Under FINRA Rule 3280, financial advisors must get prior approval from their firm to sell any investment.

This termination was likely triggered by a customer complaint that was made in September 2025.  The customer alleged losses of $1,000,000 from investments in First Liberty Building & Loan.  The customer alleged that First Liberty Building & Loan was a PONZI Scheme run by Edwin Brant Frost IV.

Background on Timothy Nathaniel Darnell

Nathaniel Darnell was licensed with Bankers Life Securities from August 2016 to September 2025 at a Atlanta, Georgia office.   He also sold insurance through Bankers Life, and he was also affiliated with Keith Cochran, CPA.

Is Bankers Life Securities Responsible for Darnell’s Conduct?

FINRA Rule 3110 states that securities broker-dealers like Bankers Life Securities must adequately monitor the activity of its advisors.  Bankers Life Securities could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Helps Investors in Georgia

Our specialized law firm represents investors throughout the United States including Georgia, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you were a client of Timothy Nathaniel Darnell and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Darnell’s BrokerCheck Report

Contact Israels & Neuman for a Free Case Evaluation

We always offer Free Consultations. 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!

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

Did you invest with financial advisor Gwendolyn Hayes in Lake Oswego, Oregon? Israels & Neuman is looking into claims made by FINRA against this advisor, who was a representative of Edward Jones. In January 2025, Hayes was kicked out of the securities brokerage industry by FINRA when she failed to cooperate with a FINRA investigation.

She was terminated by Edward Jones in April 2024, which led to a FINRA investigation. FINRA was investigating Gwendolyn Hayes regarding allegations that she changed customers’ investment objectives without their authority, mismarked trades as being unsolicited, and accepted trading instructions from unauthorized individuals.

Ms. Hayes was registered with Edward Jones from 2010 to April 2024 and worked in Lake Oswego, Oregon. She also worked for Ameriprise from May 2024 to August 2024.

Israels & Neuman represents investors in all 50 states including throughout the Pacific Northwest. We have offices in Seattle; Vancouver, Washington; Grand Rapids; Ann Arbor and Phoenix. We have previously represented investors against Edward Jones as well.

FINRA’s AWC Regarding Gwendolyn Hayes can be found HERE

Hayes’s BrokerCheck Report can be found HERE

If you lost money with Gwendolyn Hayes, 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.

Did you suffer investment losses with advisor William Shane Garrow in Tulsa, Oklahoma? The securities and investment fraud law firm of Israels & Neuman is looking into allegations against this advisor. He previously worked with the Bank of Oklahoma and BOK Financial Securities, and was charged with bank fraud. He recently pleaded guilty to the charges. The sentencing hearing has not been set yet. Mr. Garrow was previously charged in December 2024 by the U.S. Attorney’s Office for the Northern District of Oklahoma.

According to the U.S. Attorney’s office, Garrow misappropriated or embezzled $4.2 million dollars from 16 customer accounts between 2012 and 2024. He was also accused of filing false tax returns.

William Shane Garrow worked in Tulsa, Oklahoma. He was employed with Bank of Oklahoma from 2007 to 2024 and licensed with BOK Financial Securities from June 2014 to April 2024.

Bank of Oklahoma has legal obligations to reasonably supervise their advisors’ conduct. If they failed to do so, they can be liable for investor losses.

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

FINRA’s BrokerCheck report can be found HERE.

If you lost money with William Shane Garrow or Bank of Oklahoma, 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.

Did you invest with financial advisor Ceondre Colvin in Pittsburgh, Pennsylvania? Israels & Neuman is looking into claims made by FINRA against this advisor, who was a representative of NYLife (New York Life) Securities. In November 2024, he was barred from the securities brokerage industry by FINRA after he refused to cooperate with a FINRA investigation.

Colvin was under investigation after a customer complaint alleged that he made unauthorized withdrawals from two customers’ accounts to pay for personal expenses. New York Life already settled two cases involving this advisor, one for over $95,000 and another for over $8,000.

Ceondre Colvin was registered with NYLife Securities from September 2022 to June 2024. He worked in Pittsburgh, Pennsylvania.

Brokerage firms must reasonably monitor its advisors. If the firm fails to do so, they could be liable for investor losses.

FINRA’s AWC Regarding Ceondre Colvin can be found HERE

Ceondre Colvin’s BrokerCheck Report can be found HERE

If you lost money with Ceondre Colvin or NYLife Securities, contact the law firm of ISRAELS & NEUMAN 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.

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.

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.

BOISE, IDAHO Were you a customer of financial advisor Gregory Corrie? The securities fraud law firm of Israels & Neuman is looking into allegations against Gregory Corrie, who previously worked with Cambridge Investment Research in Boise, Idaho.

In August 2024, he was barred by FINRA after he refused to respond to an investigation. FINRA was investigating Mr. Corrie after he was terminated by his brokerage firm, Cambridge Investment Research, in February 2023. The brokerage firm terminated him regarding allegations of “excessive use of UIT [Unit Investment Trust] products”, and later updated his disclosures, stating that Corrie made “remediation payments related to the trading activity”.

Gregory Corrie was registered with Cambridge Investment Research from January 2020 to March 2023. He also previously worked with Cetera Advisors and worked in Boise, Idaho. In addition, he was the subject of two tax liens in 2011 and 2013 respectively.

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

VIEW FINRA AWC HERE VIEW BROKERCHECK REPORT HERE

If you lost money with Gregory Corrie, or Cambridge Investment Research, contact the law firm of ISRAELS & NEUMAN at (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.

BROOKLYN, NEW YORK Are you a former client of financial advisor Marat Likhtenstein? The securities and investment fraud law firm of Israels & Neuman is looking into allegations against this advisor, who previously worked with Royal Alliance (now known as Osaic Wealth).

Mr. Likhtenstein was barred by FINRA after he refused to respond to an investigation. FINRA was investigating whether he had failed to disclose to his brokerage firm that he entered into personal loan transactions with a client. Generally, brokers cannot borrow money from clients, with limited exceptions.

Marat Likhtenstein was registered with Royal Alliance and Osaic from November 2018 to June 2024. He worked in Brooklyn, New York and was also terminated by Osaic regarding the same alleged conduct.

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

View FINRA AWC HERE View BrokerCheck Report HERE

If you lost money with Marat Likhtenstein, or Royal Alliance, contact the law firm of ISRAELS & NEUMAN 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.

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