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.

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.

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.

LA MESA, CALIFORNIA Are you a client of David Taddeo at LPL Financial in La Mesa, CA? He has been with LPL Financial Securities since 2000 and is the subject of six customer complaints, four of which have been made since 2020. The most recent complaint, made in December 2023, alleges losses of $124,000 related to a “private securities transaction” that was allegedly done with approval from LPL Financial.

According to FINRA, he worked in La Mesa, California and also has held an advisory license with LPL Financial since 2002.

If you lost money with David Taddeo, LPL Financial, or in real estate investments, please Contact Us at 720-599-3505 for a free evaluation of your case.

View BrokerCheck Report HERE.

SOUTHLAKE, TEXAS Did you invest with advisor Reuben Brown of Edward Jones in Southlake, Texas? After he failed to respond to a FINRA inquiry, he was barred from the securities industry pursuant to FINRA Rule 8210. This rule generally provides that financial advisors must respond to FINRA investigations or face consequences.

FINRA began its investigation after Brown was allegedly involved in private securities transactions. Essentially, he was alleged to have sold investments that were not approved by his former brokerage firm, Edward Jones. He was also fired by the firm in August 2022.

Reuben Brown was licensed with Edward Jones between August 2019 and August 2022. He worked in Southlake, Texas, and was also the subject of a 2023 customer complaint alleging $180,000 in losses.

Brokerage firms must sufficiently monitor the acts of its representatives. If the firm fails to do so, it could be held responsible for investor losses. Our law firm that has recovered millions of dollars for investors in the past, including numerous investors in Texas.

View FINRA AWC HERE View BrokerCheck Report HERE

If you lost money with Reuben Brown, or Edward Jones, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

WESTLAKE VILLAGE, CALIFORNIA Are you a client of financial advisor Spencer Miller, with Merrill Lynch in Westlake Village, California? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by customers of this financial advisor.

According to FINRA’s (Financial Industry Regulatory Authority) BrokerCheck, Miller has been the subject of three customer complaints, all of which were made since July 2023. Two of the complaints allege that he sold unsuitable private investments, including PIPES (which are private investments in public equity). One of these complaints has been filed with FINRA, while the other two have not.

From January 2014 to the present, Spencer Marc Miller has been a representative of Merrill Lynch. He worked in a Westlake Village, California office.

Israels & Neuman has offices in Denver CO, Phoenix AZ, Seattle WA, and Ann Arbor, MI. Our firm represents investors in all 50 states.

View BrokerCheck Report HERE.

If you lost money with Spencer Miller or Merrill Lynch, please Contact Us at 206-795-5798 for a free evaluation of your case.

John Orlando was with Westpark Capital from August 2016 to September 2019. He has also been with SW Financial from November 2019 to the present and with Newport Coast from March 2015 to August 2016. He has worked at branch offices in Fort Lauderdale, Florida.

Brokerage firms like Westpark Capital 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, including against Westpark Capital.

View J. Orlando BrokerCheck Report

If you lost money with John Orlando or Westpark Capital, 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 Rodrigue Lors, formerly with National Securities Corp. and now with Wilmington Capital Securities in Westbury, New York? We are looking into allegations made against Rodrigue Lors. Lors has been the subject of seven customer complaints, five of which have been made since 2020. Lors was alleged to have sold unsuitable investments in private placements and PIPES (private investment in public equity).

Rodrigue Lors was with National Securities Corp. from 2007 to October 2017. He has been with Wilmington Capital Securities from October 2017 to the present. He has worked at branch offices in Westbury, New York.

Brokerage firms like National Securities Corp. 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 York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against National Securities Corp.

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

Jeffrey Basford has been with David Lerner Associates from 2006 to the present. He has worked at branch offices in Westport, Connecticut.

Brokerage firms like David Lerner Associates 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 David Lerner Associates.

Click to view Basford BrokerCheck Report

If you lost money with Jeffrey Basford, David Lerner Associates, Energy 11, or Energy 12, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 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.

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.

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.

In 2021, FINRA barred George McCaffrey from the securities industry. FINRA alleged that McCaffrey failed to disclose all of his private securities transactions during its 2018 investigation.

George McCaffrey was a registered representative and financial advisor with NTB Financial Corp. from 1989 to October 2017. He worked out of a branch office in Englewood, Colorado. McCaffrey is also the subject of a 2021 customer complaint.

Broker-dealers like NTB Financial Corp. have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives. Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations. When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman are investment fraud and securities arbitration attorneys with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. Our firm has represented over one thousand investors throughout the country, including investors throughout the Denver area. Attorney Aaron Israels is licensed to practice law in Colorado and can meet with our clients in Colorado in-person.

View FINRA AWC: McCaffrey, G. FINRA AWC

View BrokerCheck: McCaffrey, G. BrokerCheck 6.28.21

View FINRA AWC 2021: McCaffrey, George FINRA AWC 2021

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

CHESTERFIELD, MISSOURI – Have you lost money with financial advisor Scott Niekamp, of Northwestern Mutual in Chesterfield, Missouri? We are looking into allegations made against Scott Niekamp, who has been the subject of four (4) customer complaints, all made since 2018. Some of the complaints allege that Niekamp solicited investors to invest in a private equity security and failed to disclose material facts, including that Niekamp was also a shareholder.

Scott Niekamp has been a registered representative of Northwestern Mutual from 2000 to the present. He has worked at branch offices in Chesterfield, Missouri. Niekamp was also suspended by FINRA for three months in 2021.

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 Missouri. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

View BrokerCheck: Niekamp, S. BrokerCheck 6.22.21

If you lost money with Scott Niekamp 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.

Scott Jason Lee was a registered representative of Moloney Securities from April 2016 to April 2019. He has been with Ausdal Financial Partners from April 2019 to the present. He has worked at branch offices in Cold Spring, Minnesota.

Brokerage firms like Moloney 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 Minnesota. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view BrokerCheck: Lee, s BrokerCheck 6.11.21

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