BAKER CITY, OREGON Are you a former client of financial advisor Jeffrey Higgins? Our Pacific Northwest law firm is looking into allegations against Jeffrey Higgins, who previously worked with Western International Securities and Financial West Group.

Higgins was expelled from the securities brokerage industry by FINRA after he refused to respond to an investigation. FINRA was investigating him regarding allegations that he stole or misappropriated money from his customers beginning in 2007. This news story was featured in the Baker City Herald.

Jeffrey Higgins was registered with Western International Securities from August 2017 to June 2024. He also previously worked with Financial West Group from 1997 to August 2017 and worked in Baker City, Oregon. He was also fired by Western International Securities in 2024.

Israels & Neuman has recovered millions of dollars for investors in the past, including numerous investors in Oregon. Our firm has sued many brokerage firms throughout the country, and we have offices in Seattle WA, Vancouver WA, Denver CO, and Phoenix AZ.

View FINRA AWC HERE View BROKERCHECK REPORT HERE

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

GRAND RAPIDS, MICHIGAN Are you a former customer of Michael Gravelyn in Grand Rapids, Michigan? Our firm is reviewing claims made against this advisor. FINRA began its investigation after he was “permitted to resign” by Northwestern Mutual in April 2023.

According to Northwestern Mutual, the resignation was made while Gravelyn was under internal investigation for processing multiple client bank account drafts without client authorization. Since then, the brokerage firm has settled ten small claims made regarding Gravelyn. He refused to respond to FINRA’s investigation, which led to his expulsion from the securities industry.

Michael Gravelyn had been licensed with Northwestern Mutual from 2017 to April 2023. He worked in Grand Rapids, Michigan.

Brokerage firms are required to sufficiently monitor the acts of its representatives. If the firm fails to do so, it could be responsible for investor losses. Our law firm has recovered millions of dollars for investors in the past, including numerous investors in Michigan. Attorney Aaron Israels grew up in Holland, Michigan and still maintains his Michigan law license.

View FINRA AWC HERE View BrokerCheck Report HERE

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

STUDIO CITY, CALIFORNIA Are you a former client of Juan Sosa in Studio City, California? The securities and investment fraud law firm of Israels & Neuman is investigating claims made against Juan Sosa, formerly with SagePoint Financial and Independent Financial Group. It has been alleged that Sosa converted or stole $331,000 from an elderly customer which resulted in him being “permitted to resign” by his brokerage firm in July 2022.

His resignation led to FINRA starting its own investigation. Sosa allegedly deposited over $220,000 to his own accounts and also wrote $111,000 in checks to pay off his own credit card bills.

Juan Sosa had been licensed with SagePoint Financial from 2005 to July 2022. He worked at Independent Financial Group from August 2022 to March 2024 in Studio City, California. In addition, he has been the subject of multiple customer complaints.

SagePoint Financial is a FINRA member and is required to sufficiently monitor the acts of its representatives. If the firm fails to do so, it could be responsible for investor losses. Our law firm has recovered millions of dollars for investors in the past, including numerous investors in California.

View FINRA AWC HERE View BrokerCheck Report HERE

If you lost money with Juan Sosa, or SagePoint Financial, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

ALPHARETTA, GEORGIA Are you a former client of financial advisor Matthew Chimento in Alpharetta, Georgia? Israels & Neuman is reviewing allegations against this broker, who previously worked with Morgan Stanley (Prudential). He was barred from the securities industry by FINRA, according to FINRA’s Disciplinary Database.

In November 2023, Matthew Chimento voluntarily resigned from Morgan Stanley while he was under an internal investigation. According to BrokerCheck, he allegedly transferred funds out of a client’s account and placed it into an account for his own benefit, without the client’s authorization, (breach of fiduciary duty), which led to the FINRA investigation. After failing to respond to FINRA’s investigation, he was barred.

Matthew Chimento was registered with Morgan Stanley from March 2023 to November 2023 and worked in Alpharetta, Georgia. He also previously worked for E*Trade for five years.

Israels & Neuman has represented thousands of investors in the past, including numerous investors in Georgia. We have represented investors against numerous brokerage firms, including against Morgan Stanley.

View FINRA AWC HERE View BrokerCheck Report HERE

If you lost money with Matthew Chimento, or Morgan Stanley, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

Roderick Whited was with Northwestern Mutual from 1996 to February 2020. He has worked at branch offices in Gainesville, Florida. Whited was also the subject of one customer complaint, and he was also allowed to resign by Northwestern Mutual.

Brokerage firms like Northwestern Mutual 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 R Whited BrokerCheck Report

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