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.

Did you invest with financial advisor Thomas Duggan, formerly with Aegis Capital in Melville, New York? Our investment fraud law firm is reviewing claims made by former customers against this advisor.

Thomas Duggan has been the subject of nine customer complaints throughout his career, and eight of those complaints have been made since 2019. Many of the complaints allege that he breached his fiduciary duties and made unsuitable investment recommendations to customers. These cases settled for an aggregate of $1.3 million.

Thomas Duggan was a representative of Aegis Capital from January 2016 to May 2022. He worked in a Melville, New York office.

Israels & Neuman is an investment fraud law firm that represents clients throughout the U.S. We have represented over 1,000 investors against many different firms in the past, including against Aegis Capital.

You can find Thomas Duggan’s BrokerCheck Report HERE.

If you lost money with Thomas Duggan or Aegis Capital, 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 Steven McCormick in Simi Valley, California? Israels & Neuman is looking into claims made by FINRA against this advisor, who was affiliated of Woodbury Financial Services from March 2019 to January 2024 and with Osaic Wealth from January 2024 to October 2024. He was recently barred from the securities brokerage industry by FINRA after he refused to cooperate with a FINRA investigation.

According to FINRA’s Letter of Acceptance, Waiver, and Consent (AWC), McCormick was the subject of a complaint made to FINRA, which led to an investigation. He acknowledged the FINRA investigation but said he would not comply.

Steven P. McCormick was registered with Woodbury Financial Services and Osaic Wealth. He worked in Simi Valley, California and was also the subject of a 2021 tax lien and a 2017 customer complaint.

Brokerage firms must reasonably monitor their 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 Steven McCormick, Woodbury Financial Services, or Osaic Wealth, 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.

Were you a customer of financial advisor Curtis Wilson? The securities and investment fraud law firm of Israels & Neuman is looking into allegations against this advisor, who works with CreativeOne Wealth in Tulsa, Oklahoma.

Wilson has been the subject of two customer complaints within the last two years. The customers alleged that he engaged in an unsuitable options trading strategy that caused significant losses. A 2024 complaint alleges $761,000 in losses related to the options trading.

Curtis Wilson has been registered with CreativeOne Wealth from January 2021 to the present. He works in Tulsa, Oklahoma.

Israels & Neuman has represented thousands of investors in the past, including investors in Oklahoma. We represent clients in all 50 states.

Curtis Wilson’s BrokerCheck Report can be found HERE

If you lost money with Curtis Wilson, or CreativeOne Wealth, 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.

Robert Wolfe was with Cetera Advisor Networks from November 2017 to June 2020. He was also with Girard Securities from 2009 to November 2017 and with Goldman Sachs from July 2020 to the present. He has worked at branch offices in Fort Lauderdale, Florida.

Brokerage firms like Cetera Advisor Networks have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms 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 Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view Wolfe BrokerCheck Report

If you lost money with Robert Wolfe, Cetera Advisor Networks, or Girard Securities, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Jeffrey Dampf was with PFS Investments (Primerica) from 2009 to September 2021. He has worked at branch offices in Totowa, New Jersey.

Brokerage firms like PFS Investments have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms 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 Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New Jersey. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against PFS Investments (Primerica).

View J. Dampf BrokerCheck Report

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

Joshua Helmle was with Integrity Brokerage Services from 2002 to December 2020. He has worked at branch offices in Monterey Park, California. Helmle was also terminated by Integrity Brokerage Services and he was also barred by FINRA in 2020.

Brokerage firms like Integrity Brokerage Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms 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 Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view Helmle BrokerCheck Report

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

Alberto Valdes was with Raymond James Financial from July 2016 to January 2018. He has been with Citigroup from January 2018 to the present. He has worked at branch offices in Miami, Florida.

Brokerage firms like Raymond James Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms 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 Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Raymond James Financial.

View A. Valdes BrokerCheck Report

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

Deborah Herrmann (formerly Deborah Gniech) was with Transamerica Financial Advisors from February 2018 to April 2021. Herrmann was also previously with Farmers Financial Solutions. She has worked at branch offices in Wheaton, Illinois.

Brokerage firms like Transamerica Financial Advisors have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms 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 Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Illinois. Attorney David Neuman grew up in DuPage County and is licensed to practice law in Illinois. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Transamerica Financial Advisors.

Click here to view D. Herrmann BrokerCheck Report

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

Lanny Howarter has been with Crown Capital Securities from March 2009 to the present. He has worked at branch offices in San Diego, California.

Brokerage firms like Crown Capital Securities have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms 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 Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Crown Capital Securities.

Click here to view Howarter BrokerCheck Report

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

Cynthia Giovacchino has been with LPL Financial from October 2011 to the present. She has worked at branch offices in Shelton, Connecticut.

Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms 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 Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Connecticut. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against LPL Financial.

Click here to view C. Giovacchino BrokerCheck Report

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

Have you lost money with financial advisor Chad M. Mackland of Council Bluffs, Iowa? We are continuing to look into allegations made against Mackland. The SEC recently barred Mackland from the securities industry in any capacity. Mackland was charged with multiple felonies related to insurance sales practices.

In March 2021, FINRA, the Financial Industry Regulatory Authority barred Mackland from the securities brokerage industry. Mackland was charged with fraud in Pottawattamie County, Iowa for theft.

Chad Mackland was a financial advisor and registered representative of Northwestern Mutual from 2005 to August 2016. He was also with MML Investors Services from March 2017 to September 2018 and with Lion Street Financial from December 2018 to February 2020. He worked at branch offices in Council Bluffs, Iowa and Omaha, Nebraska. Mackland was also discharged by MassMutual and allowed to resign by Northwestern Mutual.

Brokerage firms like Northwestern Mutual, MML Investors Services, and Lion Street Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms 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 Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Iowa and Nebraska. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against MML Investors Services.

Click here to view C. Mackland BrokerCheck Report

If you lost money with Chad Mackland, Northwestern Mutual, MML Investors Services, or Lion Street Financial please Contact Us at 720-599-3505 or 206-795-5798 for a free evaluation of your case.

Christopher Kennedy was with Western International Securities from August 2017 to July 2019 and again from December 2019 to August 2021. He has worked at branch offices in Tarzana, California. Kennedy was also terminated by Western International Securities regarding options trading.

Brokerage firms like Western International Securities have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms 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 Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Western International Securities.

Click here to view C. Kennedy BrokerCheck Report

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

Daniel Tuan Loy was with Voya Financial Advisors from 2007 to September 2015. He has also been with Independent Financial Group from September 2015 to the present. He has worked at branch offices in Milpitas, California. Loy also was “permitted to resign” from Voya Financial Advisors in 2015.

Brokerage firms like Voya Financial Advisors have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms 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 Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Voya Financial Advisors.

Click here to view D. T. Loy BrokerCheck Report

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