Articles Posted in lawyer

GUSTAVO DOLFINO is BARRED by SEC for Sales of Student Global LLC
Israels & Neuman, PLC

Gustavo Dolfino Barred by SEC Regarding Student Global LLC 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…

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WILLIAM CARLTON of Cetera Advisors is FIRED
Israels & Neuman, PLC

Cetera Advisors Fires Advisor William Carlton for Inappropriate Trading Practice Allegations 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…

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JAMES MARTIN of Berthel Fisher is FIRED
Israels & Neuman, PLC

Berthel Fisher Fires Advisor James Martin 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…

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RICHARD JACKSON of Equity Services is SUSPENDED
Israels & Neuman, PLC

Former Equity Services Advisor Richard Jackson Suspended 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…

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ROSS FABREGAS of LPL Financial is FIRED
Israels & Neuman, PLC

LPL Financial Fires Advisor Ross Fabregas 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…

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ALTON RANEY of LPL Financial Subject of Complaint for Excessive Commissions
Israels & Neuman, PLC

Alton Raney, Formerly of LPL Financial, Subject of Arkansas Securities Complaint 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.…

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JODY VANDER WEIDE of Sigma Financial is FIRED
Israels & Neuman, PLC

Sigma Financial Fires Jody Vander Weide 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…

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COURTNEY SMITH of Spire Securities is SUSPENDED by FINRA
Israels & Neuman, PLC

Spire Securities Fires Advisor Courtney Smith 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…

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LAWRENCE ROGER RICE of Centaurus Financial is BARRED by FINRA
Israels & Neuman, PLC

Lawrence Rice Permitted to Resign by Centaurus Financial LAUDERDALE BY THE SEA, FLORIDA Are you a former customer of Lawrence Roger Rice, formerly with Centaurus Financial, in Lauderdale by the Sea, Florida? FINRA’s BrokerCheck Report (linked below) shows that he was “permitted to resign” by the brokerage firm in February 2024. He had been licensed…

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JOHN CHRISTOFORIDIS of Spartan Capital is BARRED
Israels & Neuman, PLC

Spartan Capital Stockbroker John Christoforidis Barred by FINRA GARDEN CITY, NEW YORK Did you lose money with financial advisor John Christoforidis, formerly with Spartan Capital Securities in Garden City, New York? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by FINRA against Mr. Christoforidis. FINRA barred him from…

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Aaron created our wills and offered solutions that made the process easy and pain free. We recently needed to amend our wills, and he made suggestions that made a better distribution that we had not thought of prior to meeting with him. He was...

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I have worked with Aaron Israels for over eight years and can confidently say that he is the most honest and hard-working attorney I know. He not only gets results, but he also genuinely cares about his clients and colleagues. If you have a...

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