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

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

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

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

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

VIEW BROKERCHECK REPORT HERE

VIEW SEC ORDER HERE

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

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

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

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

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

View BrokerCheck report here. View SEC Complaint here.

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

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

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

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

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

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

VIEW BROKERCHECK REPORT HERE.

VIEW FINRA AWC HERE.

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

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

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

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

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

VIEW BROKERCHECK REPORT HERE. VIEW FINRA AWC HERE.

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

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

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

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

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

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

VIEW BROKERCHECK REPORT HERE.

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

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

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

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

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

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

View Complaint HERE View FINRA BrokerCheck Report HERE

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

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

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

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

VIEW BROKERCHECK REPORT HERE.

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

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

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

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

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

View Brokercheck Report Here.

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

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

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

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

View FINRA AWC here View BrokerCheck Report here

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

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

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

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

View FINRA AWC HERE. View BrokerCheck Report HERE.

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

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

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

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

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

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

BrokerCheck report can be found HERE.

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

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

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

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

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

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

View BrokerCheck report HERE View SEC Complaint HERE

PEORIA, ARIZONA Did you lose money with financial advisor Scott Taubman from Peoria, Arizona? He was suspended for four months by FINRA. FINRA began its investigation after he was “permitted to resign” by his former brokerage firm, Ameriprise Financial Services. Mr. Taubman was under internal investigation by Ameriprise Financial Services, regarding allegations that he borrowed $100,000 from two customers. Financial advisors generally cannot borrow money from clients, with limited exceptions, and the advisor must get prior approval to borrow money from clients.

Scott Taubman held securities licenses with Ameriprise Financial Services from March 2017 to September 2022 and previously with Allstate Financial Services from 2008 to March 2017. He worked in Peoria, Arizona. Taubman has also been the subject of a 2022 bankruptcy and a 2023 customer complaint.

Under FINRA Rule 3240, an advisor can borrow from a customer but under certain circumstances. Likewise, under FINRA Rule 3111, brokerage firms are required to have written supervisory and compliance procedures. If brokerage firms fail to reasonably supervise its advisors, it may be liable for customer losses.

Our firm has represented numerous investors throughout Arizona and have sued dozens of brokerage firms in the past, including Ameriprise Financial Services. Attorney Aaron Israels is licensed to practice law in Arizona, and we maintain an office in Phoenix, Arizona.

View BrokerCheck report here.

View FINRA AWC here.

If you lost money with Scott Taubman or Ameriprise Financial Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

SAN ANTONIO, TEXAS Are you a former customer of financial advisor Eric Anthony Dupre from San Antonio, Texas? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against this advisor. He was fired by Ameriprise Financial Services in March 2024.

Ameriprise terminated Mr. Dupre in December 2023. According to BrokerCheck, he allegedly borrowed money from clients, which is generally not allowed under FINRA Rules. Additionally, he has been the subject of a $4 million customer complaint, in which the customer alleges that Dupre recommended to the customer to make cryptocurrency investments and other unsuitable investments.

Eric Anthony Dupre had been with Ameriprise from June 2020 to December 2023. He worked in a San Antonio, Texas branch office, and was previously with Raymond James.

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

Our firm has represented numerous investors throughout Texas and have sued many brokerage firms in the past.

View BrokerCheck report here.

If you lost money with Eric Anthony Dupre or Ameriprise, 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

ANNAPOLIS, MARYLAND Did you invest in oil and gas with Jeffrey Furniss from Annapolis, Maryland? Our firm is reviewing allegations made by several customers who filed claims against his brokerage firm, Lincoln Financial Advisors.

According to FINRA’s BrokerCheck, Mr. Furniss has been the subject of five customer complaints, two of which are still pending. The pending complaint alleges that he sold unsuitable oil and gas investments, which allegedly lost a combined $175,000. The complaint was part of a class action lawsuit. Two other complaints involving oil and gas investments from 2022 have already been settled.

Since 2005, Jeffrey Furniss has worked in an Annapolis, Maryland office for Lincoln Financial Advisors. He also operates Charter Financial Group in Annapolis.

Under FINRA Rules, Furniss must make investment recommendations that are suitable for the customer. Brokerage firms must perform due diligence on all investment products it sells. If it failed to adequately perform due diligence, Lincoln Financial Advisors could be liable for investor losses.

BrokerCheck report can be seen HERE

If you lost money with Jeffrey Furniss or Lincoln Financial Advisors, please Contact Us at 206-795-5798 for a free evaluation of your case.

NORTH OAKS, MINNESOTA Have you lost money investing with Randy Birkinbine of Ausdal Financial Partners in North Oaks, Minnesota? According to Brokercheck, Ausdal Financial Partners has been named as a party in three cases filed in 2024, and Mr. Birkinbine was the subject of those complaints. It was alleged that he made unsuitable investment recommendations in GWG, as well as oil and gas investments, REITs (real estate investment trusts), and UITs (unit investment trusts).

Randy Birkinbine has been affiliated with Ausdal Financial Partners from June 2011 to the present. He worked in a North Oaks, Minnesota office. In addition to the three customer complaints mentioned above, he has been the subject of five other customer complaints since 2013, and has also had five tax liens since 2009.

FINRA Rule 2111 discusses suitability: advisors must make suitable investment recommendations to customers in accordance with the investors’ risk tolerance, investment objectives, net worth, age, and other factors. If the advisor violates Rule 2111, the advisor and/or the brokerage firm can be liable for investor losses.

Israels & Neuman PLC handles a number of cases in FINRA arbitration. We have previously represented numerous investors in Minnesota and the Twin City area.

View BrokerCheck report HERE.

If you lost money with Randy Birkinbine or Ausdal Financial Partners, please Contact Us at 720-599-3505 for a free evaluation of your case.

WALTHAM, MASSACHUSETTS The securities and investment fraud law firm of Israels & Neuman is looking into complaints made by several former customers who filed claims against Paul Meaney, while at Lincoln Financial Advisors. Lincoln Financial has faced five customer complaints regarding recommendations made by Mr. Meaney, three of which were filed in FINRA arbitration.

Three out of the five complaints involved oil and gas investments. The most recent complaint alleges a $75,000 loss in an oil and gas investment called Atlas.

From 2007 to the present, Paul Meaney worked at Lincoln Financial Advisors in Waltham, Massachusetts.

Alternative investments like oil and gas investments can carry significant risks. Moreover, if the investment is a private placement, the investor must be qualified or accredited to invest.

BrokerCheck report can be seen HERE

If you lost money with Paul Meaney or Lincoln Financial Advisors, please Contact Us at 206-795-5798 for a free evaluation of your case.

SOUTHFIELD, MICHIGAN Have you invested with John Bussa from Southfield, Michigan? Our firm is reviewing allegations made by several customers who have filed claims against his brokerage firm, Lincoln Financial Advisors.

Bussa has been the subject of eight customer complaints, two of which are still pending. The most recent complaint alleges that he sold an unsuitable oil and gas investment. The oil and gas investment allegedly lost $100,000. Another pending complaint involves the sale of a REIT – a real estate investment trust.

John Bussa has worked in a Southfield, Michigan office for Lincoln Financial Advisors since 2001. Bussa also operates JMB & Associates in Southfield.

Investment advisors are required to make investment recommendations that are suitable for the customer, under FINRA Rule 2111. Brokerage firms must perform due diligence on all investment products it sells. If it failed to adequately perform due diligence, they could be liable for investor losses.

BrokerCheck report can be seen HERE

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

SEATTLE, WASHINGTON Israels & Neuman is reviewing allegations made by FINRA against David Wong, who owns and operates Integrity Brokerage in Seattle, Washington. FINRA wants to punish this advisor according to a May 2024 complaint.

FINRA has alleged that David Wong misappropriated about $9,500 from three clients in 2022 and 2023. It was alleged that he converted the money by withdrawing it from customer accounts and depositing the money into accounts owned by his brokerage firm.

David Wei Wong is a representative of Integrity Brokerage, from April 2020 to the present. He is also an advisor with Integrity Advisers, LLC. He operates offices in Seattle, Washington and Los Angeles, California. He was also the subject of a 2021 customer complaint.

Israels & Neuman has offices in Seattle, Denver, Phoenix, and Ann Arbor, Michigan. Attorney David Neuman is licensed to practice law in Washington, and we represent investors throughout the Seattle area.

If you lost money with David Wong or Integrity Brokerage, please Contact Us at 206-795-5798 for a free evaluation of your case.

View FINRA’s Complaint HERE View BrokerCheck Report HERE