Losses with SEAN CASTERLINE and Tuscan Gardens Investments

Israels & Neuman, PLC

MAITLAND, FLORIDA

Have you lost money with financial advisor Sean Casterline, formerly with Delta Securities Company (formerly Maitland Securities) in Maitland, Florida? Our law firm is reviewing allegations made by FINRA against Casterline. FINRA investigated Casterline regarding allegations that he sold investments in an entity that was raising capital to develop and operate senior living facilities, such as Tuscan Gardens.

Casterline was alleged to have sold $1.5 million in this entity. To settle these allegations, Casterline agreed to an 18 month suspension from the securities industry, a $5,000 fine, and disgorgement of $116,000 in commissions made on these sales.

Sean Casterline was with Delta Securities Company (formerly Maitland Securities) from May 2018 to December 2021. He has worked at branch offices in Maitland, Florida. Casterline has also been the subject of one customer complaint, where the customer alleges losses in Tuscan Gardens Growth and Income Fund.

Brokerage firms like Delta Securities Company 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. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view: Casterline, Sean BrokerCheck 1.3.22

Click to view: Casterline, Sean FINRA AWC

If you lost money with Sean Casterline, Tuscan Gardens, or Delta Securities Company, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

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