loan - Israels & Neuman, PLC

Advisor KELIIKAI CASTILLO of UnionBanc is FIRED

Israels & Neuman, PLC — Wed, 20 Sep 2023 18:03:01 GMT

Keliikai Castillo Fired by UnionBanc Investment Services

SEATTLE, WASHINGTON

Are you a former client of Keliikai Castillo with UnionBanc Investment Services in Seattle, Washington? He was fired by UnionBanc Investment Services in July 2023. According to BrokerCheck, Castillo engaged in unreported outside business activities and private securities transactions.

In simple terms, this means that he allegedly sold investments that were not approved by UnionBanc Investment Services. FINRA Rule 3280 provides that no representative of a brokerage firm can engage in a transaction in which the representative will earn compensation without getting approval from their brokerage firm.

Keliikai Castillo was a financial advisor and registered representative of UnionBanc Investment Services between May 2009 and July 2023. He worked in offices in Seattle, Washington. He had been licensed in the securities industry since 2004.

Our investment fraud law firm has an office in downtown Seattle, and we represent investors all over the Seattle area. Attorney David Neuman is licensed to practice law in Washington.

VIEW CASTILLO BROKERCHECK REPORT HERE.

If you lost money with Keliikai Castillo or UnionBanc Investment Services, please Contact Us at 206-795-5798 for a free evaluation of your case.

ROY KEVIN WILLIAMS Fired by Stifel Nicolaus for “Borrowing” Money

Israels & Neuman, PLC — Thu, 20 Jul 2023 20:09:50 GMT

Roy Kevin Williams Fired by Stifel Nicolaus & Company

INDIANAPOLIS, INDIANA

Are you a former client of Roy Kevin Williams, formerly with Stifel Nicolaus & Company in Indianapolis, Indiana? Roy Kevin Williams was fired by Stifel Nicolaus & Company in May 2023. The brokerage firm alleged that Williams borrowed money from a customer between 2019 and 2023 and also paid $59,000 to settle a case to a customer who complained that Roy Williams borrowed money from that customer.

Roy Williams was a registered representative of Stifel Nicolaus & Company 2009 to May 2023. He worked in offices in Indianapolis, Indiana.

FINRA Rule 3240 governs when financial advisors borrow money from customers. Generally financial advisors cannot borrow money from customers unless the advisor has prior permission from the brokerage firms, and a list of limited exceptions applies to the transaction.

Our investment fraud law firm has sued dozens of different brokerage firms, including Stifel Nicolaus & Company. We also represent clients in Indiana.

View Williams, r BrokerCheck 7.19.23

If you lost money with Roy Williams or Stifel Nicolaus & Company, please Contact Us at 206-795-5798 for a free evaluation of your case.

Investigation of DAVID MAUTE of Allstate – Springfield, OH

Israels & Neuman, PLC — Sat, 19 Jun 2021 15:25:58 GMT

SPRINGFIELD, OHIO – Have you lost money with financial advisor David Maute, formerly of Allstate Financial Services in Springfield, Ohio? We are looking into allegations made against David Maute. David Maute was terminated by Allstate Financial Services after he was alleged to have arranged a loan between himself and a customer. Generally financial advisors cannot enter into loans with customers, with limited exceptions, and they must get permission from their brokerage firm to do so.

David Maute was a registered representative of Allstate Financial Services from 2000 to May 2021. He has worked at branch offices in Springfield, Ohio.

Brokerage firms like Allstate Financial 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 Ohio. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view BrokerCheck: Maute, David BrokerCheck 6.17.21

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