Have you lost money with financial advisor Bradley A. Goodbred of Roselle, Illinois? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, which barred him after he failed to respond to an investigation. FINRA was investigating this advisor after he was terminated by his former brokerage firm, LPL Financial. He allegedly used a power of attorney for a customer to withdraw funds from the customer’s account and have the customer provide him $430,000 for an outside real estate company.

Bradley Goodbred was a financial advisor and registered representative of LPL Financial from 2009 to February 2021 and worked at branch offices in Roselle, Illinois.

Brokerage firms have a responsibility to adequately supervise all representatives who are registered through their firm. They 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 Phoenix, Arizona; Seattle, Washington; Grand Rapids, Michigan and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Illinois. Attorney David Neuman is licensed in Illinois and grew up in nearby Addison, Illinois. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against LPL Financial.

View BrokerCheck Report HERE

If you lost money with Bradley Goodbred or LPL Financial, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (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.

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.

HADDONFIELD, NEW JERSEY Did you lose money with financial advisor James Turpin from Haddonfield, New Jersey? The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing allegations made against James Turpin also known as Jim Turpin. Earlier in June 2024, he was fired by USA Financial, his former securities brokerage firm.

The brokerage firm fired Turpin after allegations of theft from a customer account. BrokerCheck does not disclose when the alleged theft took place. James Turpin had been with USA Financial from January 2017 to June 2024. He worked in a Haddonfield, New Jersey branch office.

USA Financial is a FINRA member firm and must have written supervisory and compliance procedures under securities rules and regulations. If this brokerage firm failed to reasonably supervise its advisor, it may be liable for customer losses.

Israels & Neuman have represented thousands of investors across the country. Our firm has represented numerous investors in New Jersey and have sued dozens of brokerage firms in the past.

View Brokercheck Report Here.

If you lost money with Jim Turpin or USA Financial, please Contact Us at 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.

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.

SCOTTSDALE, ARIZONA Did you invest with Bryan Noonan in Scottsdale, Arizona? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations with respect to Bryan Noonan, who was previously licensed with Raymond James and Edward Jones. He was barred from the securities brokerage industry when he refused to cooperate with a FINRA investigation.

Bryan Noonan was registered with Raymond James from July 2021 to March 2024 in a Scottsdale, Arizona office. He was permitted to resign in March 2024 after the brokerage firm began an internal investigation into allegations that he engaged in undisclosed outside business activities and “selling away”. Selling away is when an advisor sells investments that are not authorized by his or her brokerage firm.

FINRA began its investigation after his resignation by Raymond James. When he failed to respond to FINRA, this resulted in his expulsion. Mr. Noonan also worked with Edward Jones from February 2024 to June 2024, and also previously from 2013 to September 2020.

Our securities arbitration law firm has recovered millions of dollars for investors in the past, including numerous investors in Arizona. Attorney Aaron Israels is licensed to practice law in Arizona, and has an office in Phoenix.

VIEW FINRA AWC HERE VIEW BROKERCHECK REPORT HERE

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

SACRAMENTO, CALIFORNIA Are you a former client of financial advisor Ronnie Dumag? The securities and investment fraud law firm of Israels & Neuman is looking into allegations against this advisor, who previously worked with PFS Investments (Primerica).

Mr. Dumag was barred by FINRA after he refused to respond to an investigation. FINRA was investigating whether he had converted or stolen funds from an elderly customer. Since he failed to respond, FINRA expelled him from the securities brokerage industry.

Ronnie Dumag was registered with PFS Investments from 2004 to May 2024, and worked in Sacramento, California. He also had a $50,000 tax lien in 2020.

Israels & Neuman has recovered millions of dollars for investors in the past, including numerous investors in California. Our firm has sued many brokerage firms throughout the country.

View FINRA AWC HERE View BrokerCheck Report HERE

If you lost money with Ronnie Dumag, or PFS Investments, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

CLAREMONT, CALIFORNIA Did you invest with Rosaline Alam in Claremont, California? Our investment fraud law firm is reviewing allegations against this advisor, who was previously licensed with Pruco Securities (Prudential). She was expelled from the securities brokerage industry in June 2024 by FINRA after she failed to respond to FINRA’s investigation.

In November 2023, Pruco Securities disclosed to FINRA that Ms. Alam allegedly misappropriated funds from an elderly customer and was named as a beneficiary in the customer’s will. This prompted the investigation by FINRA. When she failed to respond to the investigation, FINRA barred her in June 2024. In addition, she has also been the subject of a December 2023 customer complaint.

Rosaline Alam was registered with Pruco Securities from August 2016 to October 2023. She was also affiliated with Lincoln Investments and worked in Claremont, California.

Our investment fraud and securities arbitration law firm has recovered millions of dollars for investors in the past, including numerous investors in California. We have represented investors against numerous brokerage firms.

FINRA AWC can be found HERE BrokerCheck Report can be found HERE

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

SEVEN OAKS, CALIFORNIA Are you a former client of financial advisor Ronald Berg? The securities and investment fraud law firm of Israels & Neuman is looking into allegations against this advisor, who previously worked with a brokerage firm called Innovation Partners.

Mr. Berg was barred by FINRA after he refused to respond to an investigation. In May 2024, FINRA filed a disclosure on BrokerCheck stating that he made multiple investment recommendations to seniors to invest in private placements, and he also allegedly had involvement in a customer trust. FINRA said that Berg initially provided a partial response to its investigation, but the information and documents he failed to provide were material to the investigation.

Ronald Berg was registered with Innovation Partners from August 2016 to May 2024. He worked in Seven Oaks, California, and Innovation Partners is based in Charlotte, North Carolina.

Israels & Neuman has recovered millions of dollars for investors in the past, including numerous investors in California. Our firm has sued many brokerage firms throughout the country.

FINRA AWC can be found HERE BrokerCheck Report can be found HERE

If you lost money with Ronald Berg, or Innovation Partners, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

ANTIGO, WISCONSIN Are you a former client of Gary Kieper in Antigo, Wisconsin? Israels & Neuman is reviewing claims made against Mr. Kieper, who previously worked with Thrivent Investment Management.

In May 2024, Mr. Kieper was barred by FINRA after he refused to respond to an investigation. He had been licensed with Thrivent Investment Management when he was charged with several felonies, including theft, in Langlade County, Wisconsin. This triggered an investigation by FINRA. Financial advisors are required to comply with FINRA requests for information per FINRA Rule 8210.

Gary Kieper was alleged to have stolen over $300,000 from Rural Fire Control and the town of Ackley. He was registered with Thrivent Investment Management from 2000 to December 2022 and worked in an Antigo, Wisconsin office.

Israels & Neuman has represented over 1,000 investors in the past, including numerous investors in Wisconsin.

View FINRA AWC HERE View BrokerCheck Report HERE

If you lost money with Gary Kieper, or Thrivent Investment Management, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (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

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.

BETHESDA, MARYLAND Are you a former client of Andrew Egber in Bethesda, Maryland? The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations against Andrew Egber, who previously worked with Wells Fargo, Raymond James, and Steward Partners Investment Solutions.

He was barred by FINRA after he refused to respond to an investigation. In February 2024, Wells Fargo had filed a disclosure with FINRA that a customer alleged that the customer made an investment with Egber and that the investment funds were not returned. That led to a FINRA investigation which he refused to comply with.

Andrew Egber was registered with Wells Fargo from 2009 to January 2018. He was also with Raymond James from January 2018 to May 2022 and with Steward Partners Investment Solutions from May 2022 to April 2024. He worked in Bethesda, Maryland.

Israels & Neuman has represented over 1,000 investors in the past, including numerous investors in Maryland. Our firm has sued many brokerage firms in the past.

FINRA AWC can be found HERE View BrokerCheck Report HERE

If you lost money with Andrew Egber, or Wells Fargo, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

FARMINGTON HILLS, MICHIGAN Did you invest with Gary Harpe, formerly with PFS Investments (Primerica) in Farmington Hills, Michigan? Our securities arbitration law firm is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against advisor Gary Harpe. FINRA brought a complaint seeking to expel him from the securities industry.

FINRA started looking into Gary Harpe after he was criminally charged with larceny by conversion in Farmington Hills, Michigan for more than $1,000 but less than $20,000. He has pleaded not guilty, and the case is still pending. Harpe was terminated by PFS Investments (also known as Primerica) in 2023, and was with PFS Investments from 1998 to January 2023.

FINRA Rule 821 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 firms like PFS Investments fail to provide sufficient supervision, the firms could be responsible for financial damages.

Our firm has an office in Ann Arbor, Michigan and regularly represents investors in the greater Detroit area. Moreover, attorney Aaron Israels went to law school in Detroit and began his law practice in Michigan.

If you lost money with Gary Harpe or PFS Investments, please Contact Us at 206-795-5798 for a free evaluation of your case.

View FINRA’s Complaint HERE View BrokerCheck Report HERE

ALEXANDRIA, VIRGINIA Did you invest with Paul Trimber in Alexandria, Virginia? The securities and investment fraud law firm of Israels & Neuman is investigating claims made against this advisor, who previously worked with Wells Fargo. He was recently expelled from the securities brokerage industry by FINRA after he failed to respond to FINRA’s investigation.

The investigation began when Trimber was fired by his brokerage firm in February 2024. He was fired regarding allegations that he admittedly made unauthorized transfers of client funds to recipients outside the firm.

Paul Trimber was registered with Wells Fargo Advisors from 2003 to February 2024 and worked in Alexandria, Virginia.

Israels & Neuman has recovered millions of dollars for investors in the past, including numerous investors in Virginia and the Washington, DC area. We have represented investors against numerous brokerage firms, including against Wells Fargo.

FINRA AWC can be found HERE BrokerCheck Report can be found HERE

If you lost money with Paul Trimber, or Wells Fargo Advisors, contact the law firm of ISRAELS & NEUMAN at (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.