Did you invest with financial advisor Gwendolyn Hayes in Lake Oswego, Oregon? Israels & Neuman is looking into claims made by FINRA against this advisor, who was a representative of Edward Jones. In January 2025, Hayes was kicked out of the securities brokerage industry by FINRA when she failed to cooperate with a FINRA investigation.

She was terminated by Edward Jones in April 2024, which led to a FINRA investigation. FINRA was investigating Gwendolyn Hayes regarding allegations that she changed customers’ investment objectives without their authority, mismarked trades as being unsolicited, and accepted trading instructions from unauthorized individuals.

Ms. Hayes was registered with Edward Jones from 2010 to April 2024 and worked in Lake Oswego, Oregon. She also worked for Ameriprise from May 2024 to August 2024.

Israels & Neuman represents investors in all 50 states including throughout the Pacific Northwest. We have offices in Seattle; Vancouver, Washington; Grand Rapids; Ann Arbor and Phoenix. We have previously represented investors against Edward Jones as well.

FINRA’s AWC Regarding Gwendolyn Hayes can be found HERE

Hayes’s BrokerCheck Report can be found HERE

If you lost money with Gwendolyn Hayes, 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.

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.

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.

CHICAGO, ILLIONOIS Did you invest with financial advisor Howard Kavinsky in Chicago, Illinois? Israels & Neuman is reviewing claims made by FINRA against Howard Kavinsky, who was a representative of B. Riley Wealth Management and National Securities Corp. Near the end of 2024, he was barred from the securities brokerage industry by FINRA regarding numerous allegations.

FINRA alleged that this advisor created consolidated reports that contained false information, including overstating account balances. The consolidated reports also showed investments in a purported hedge fund, even though Kavinsky did not invest the customers’ money in a hedge fund. He also allegedly provided false information to FINRA as part of its investigation.

Howard Kavinsky was registered with National Securities Corp. from July 2019 to July 2022 and with B. Riley Wealth Management from July 2022 to June 2024 and worked in Chicago, Illinois. He was also the subject of several liens, settlements, and compromises with creditors between 2017 and 2019.

Broker-dealers like B. Riley Wealth Management and National Securities Corp. must reasonably monitor its advisors. If the firm fails to do so, they could be liable for investor losses.

Israels & Neuman have an office in Chicago. Attorneys Aaron Israels and David Neuman are both licensed to practice law in Illinois and the U.S. District Court for the Northern District of Illinois. Mr. Neuman grew up in the Chicago area and went to the University of Illinois.

FINRA’s AWC Regarding Howard Kavinsky can be found HERE

Howard Kavinsky’s BrokerCheck Report can be found HERE

If you lost money with Howard Kavinsky, National Securities Corp., or B. Riley Wealth Management, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

ORLANDO, FLORIDA Did you invest in crypto with financial advisor Sherwin Sargeant in Orlando, Florida? Israels & Neuman is looking into claims made by FINRA against this advisor, who was an affiliate of Planmember Securities. He was barred from the securities brokerage industry by FINRA after refusing to cooperate with a FINRA investigation.

FINRA’s Letter of Acceptance, Waiver, and Consent (AWC) alleges that Sargeant was being investigated for undisclosed outside business activities. In particular, FINRA was looking into his involvement with crypto investments. He then refused to comply with FINRA.

Sherwin Sargeant was registered with Planmember Securities from December 2019 to July 2023. He worked in Orlando, Florida. He also operated his own business called Retirement Planning Associates.

Planmember Securities has an obligation to reasonably monitor their financial advisors. If the firm fails to do so, they could be liable for investor losses. Attorney David Neuman is licensed to practice law in Florida, and we have represented over 1,000 investors against brokerage firms.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

If you lost money with Sherwin Sargeant, or Planmember Securities, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

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

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.

CRANBURY, NEW JERSEY Are you a former client of financial advisor Kittiany Davis Barrios in Cranbury, New Jersey? Our securities arbitration law firm is looking into claims made against this advisor, who had been a representative of PNC Investments from March 2019 to January 2024. FINRA barred her from the securities industry after she refused to continue cooperating with an investigation.

It was alleged by PNC Investments that she engaged in an undisclosed outside business activity or private securities transaction, which led to her termination. Upon termination, FINRA then began its own investigation into these allegations.

Investment firms are required to properly supervise the conduct of its 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 Kittiany Davis Barrios, or PNC Investments, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

CASTLE ROCK, COLORADO Did you invest with former financial advisor and stockbroker Sanford Simmons in Castle Rock, Colorado? Israels & Neuman is reviewing claims made against this advisor, who was licensed with a number of firms, including Provasi Capital Partners, Patrick Capital Markets, Wealthforge Securities, Colorado Financial Service Corp., and Saxony Securities. He was barred from the securities industry by FINRA when he refused to respond to a FINRA investigation.

Simmons was the subject of a September 2024 complaint, where a customer alleged that he caused $1.8 million in losses related to private real estate investments. He was then barred from the securities industry by FINRA in October 2024.

Sanford G. Simmons was registered with Provasi Capital Partners, Patrick Capital Markets, Wealthforge Securities, Colorado Financial Service Corp., and Saxony Securities. Simmons worked in Castle Rock, Colorado.

Securities firms have a responsibility to reasonably supervise the conduct of its advisors. If they don’t, they could be liable for investor losses. Our law firm that has represented over 1,000 investors in the past, including numerous investors in Colorado.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

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

BEVERLY HILLS, CALIFORNIA Did you invest with financial advisor Robert Daly in Beverly Hills, California? Our securities arbitration law firm is looking into claims made against this advisor, who was previously registered with Morgan Stanley from February 2016 to March 2023. He was expelled from the securities brokerage industry by FINRA after he refused to cooperate with a FINRA investigation.

Robert Daly was the subject of two customer complaints made in July and September 2024. FINRA also received a tip related to a possible undisclosed private securities transaction, which means that he may have sold investments that were not authorized by Morgan Stanley.

Robert Anthony Daly was registered with Morgan Stanley, as well as with Xtellus Capital Partners. He worked in Beverly Hills, California. The September 2024 complaint alleges that he sold investments in First Republic Bank.

Securities brokerage firms have to sufficiently supervise the conduct of their financial advisors. If the firm fails to do so, they could be liable for investor losses. Our law firm that has represented thousands of investors in the past, including numerous investors in California.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

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

PENNINGTON, NEW JERSEY Were you a customer of financial advisor Elan Sanker? Israels & Neuman is looking into allegations against this advisor, who previously worked in Pennington, New Jersey.

Mr. Sanker was barred by FINRA after he refused to respond to an investigation. FINRA began its investigation when he was terminated by his brokerage firm, Merrill Lynch, in May 2023. A customer filed a complaint in February 2023, alleging that he engaged in “selling away” – selling investments that were not approved or authorized by the firm, which led to Sanker’s termination in May 2023, followed by FINRA’s investigation.

Elan Sanker was registered with Merrill Lynch from November 2018 to May 2023. He also previously worked with Northwestern Mutual in Pennington, New Jersey.

Israels & Neuman has represented thousands of investors in the past, including investors in New Jersey. Our firm has sued many brokerage firms throughout the country.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

If you lost money with Elan Sanker, or Merrill Lynch, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

PLAINFIELD, ILLINOIS Did you invest with former financial advisor and stockbroker Brian Scott Graham in Plainfield, Illinois? Israels & Neuman is reviewing claims made against this advisor, who was licensed with Cetera Advisor Networks from 2013 to April 2024. He was barred from the securities industry by FINRA when he refused to respond to a FINRA investigation.

Mr. Graham was under a FINRA investigation after he was allowed to resign by Cetera Advisor Networks. Cetera had received a customer complaint alleging that he made unauthorized ATM withdrawals.

Brian Scott Graham was registered with Cetera Advisor Networks. He worked in Plainfield, Illinois.

Cetera Advisor Networks has an obligation to reasonably supervise the conduct of its advisors. If they don’t, they could be liable for investor losses. Our law firm that has recovered millions of dollars for investors in the past, including numerous investors in Illinois. Attorney David Neuman grew up in the western suburbs of Chicago and is licensed to practice law in Illinois.

VIEW FINRA AWC HERE VIEW BROKERCHECK REPORT HERE

If you lost money with Brian Graham, or Cetera Advisor Networks, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

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.

GRAND RAPIDS, MICHIGAN Did you invest with advisor Maria De Los Angeles Leon in Grand Rapids, Michigan? Israels & Neuman is reviewing claims made against this advisor, who was affiliated with PNC Investments from June 2022 to September 2024. She was barred from the securities industry by FINRA when she refused to respond to a FINRA investigation.

Ms. Leon was under a FINRA investigation after she was fired by PNC Investments. It was alleged that she misappropriated or stole customer funds.

Maria De Los Angeles Leon was registered with PNC Investments. She was also previously registered with J.P. Morgan and worked in Grand Rapids, Michigan and Chicago, Illinois.

PNC Investments has an obligation to reasonably supervise the conduct of its advisors. If they don’t, they could be liable for investor losses. Our law firm that has recovered millions of dollars for investors in the past, including numerous investors in Michigan. Attorney Aaron Israels grew up in nearby Holland, Michigan and is licensed to practice law in Michigan.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

If you lost money with Maria De Los Angeles Leon, or PNC Investments, contact the law firm of ISRAELS & NEUMAN 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.

BOISE, IDAHO Were you a customer of financial advisor Gregory Corrie? The securities fraud law firm of Israels & Neuman is looking into allegations against Gregory Corrie, who previously worked with Cambridge Investment Research in Boise, Idaho.

In August 2024, he was barred by FINRA after he refused to respond to an investigation. FINRA was investigating Mr. Corrie after he was terminated by his brokerage firm, Cambridge Investment Research, in February 2023. The brokerage firm terminated him regarding allegations of “excessive use of UIT [Unit Investment Trust] products”, and later updated his disclosures, stating that Corrie made “remediation payments related to the trading activity”.

Gregory Corrie was registered with Cambridge Investment Research from January 2020 to March 2023. He also previously worked with Cetera Advisors and worked in Boise, Idaho. In addition, he was the subject of two tax liens in 2011 and 2013 respectively.

Israels & Neuman has represented thousands of investors in the past, including numerous investors in Idaho. Our firm has successfully sued many brokerage firms throughout the country.

VIEW FINRA AWC HERE VIEW BROKERCHECK REPORT HERE

If you lost money with Gregory Corrie, or Cambridge Investment Research, contact the law firm of ISRAELS & NEUMAN 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.