Articles Posted in Securities Attorney

ROSELLE, ILLINOIS 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…

The securities and investment fraud law firm of Israels & Neuman is currently investigating allegations made against VALIC Financial Advisors, a Houston, Texas-based securities brokerage firm. FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against this firm, making allegations that it failed to adequately supervise issues related to variable annuities. FINRA alleged that…

SPRINGFIELD, ILLINOIS Have you lost money with financial advisor Dustin Shafer? We are looking into allegations made about this advisor from Springfield, Illinois. FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry after he failed to respond to its investigation. FINRA was investigating allegations that he borrowed money from a client. Dustin…

PALM BEACH, FLORIDA Are you a present or former customer of Gary S. Costello, formerly with Truist Investment Services, in Palm Beach, Florida and also formerly with Oppenheimer in Boca Raton? FINRA recently reported that Gary Costello was fired by Truist Investment Services in August 2023. Costello had been licensed with Truist Investment Services between…

ASTORIA, NEW YORK Did you lose money investing in real estate with Andrew Pandis, formerly with Essex National Securities in Astoria, New York? There have been several customers who have filed claims against this advisor’s prior firms over losses in real estate investments. Six customer complaints have been made regarding Pandis’ recommendation to invest, many…

NEW YORK, NY Are you a former client of financial advisor Carlton Fletcher in New York, New York? The investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA against this advisor, who was a representative of Dinosaur Financial Group. He was booted from the securities brokerage industry when he failed…

Tuscaloosa, AL Have you suffered financial losses with advisor Jason Head in Tuscaloosa, Alabama? The securities and investment fraud law firm of Israels & Neuman is currently examining claims by FINRA against this advisor, who served as a representative for Morgan Stanley from August 2019 to January 2024. He has been barred from the securities…

Arlington Heights, Illinois If you’re a past or present client of financial advisor Richard Ceffalio from Arlington Heights, Illinois, our law firm is investigating allegations against him. In May 2024, Ceffalio was terminated by LPL Financial due to claims that he solicited a loan from a client. Typically, financial advisors are prohibited from borrowing from…

Graham, North Carolina Did you invest in structured notes with financial advisor J. Brian Glaze or Joseph Brian Glaze? Our securities arbitration law firm is reviewing allegations made against this advisor, who previously was affiliated with LPL Financial in Graham, North Carolina. According to BrokerCheck, he has been the subject of two customer complaints since…

NEW YORK, NY Did you invest with financial advisor Troy Orlando in New York, New York? Israels & Neuman is looking into claims made by FINRA against this advisor, who had been an affiliate of Craft Capital Management from March 2022 to November 2023. In November 2024, he was barred from the securities brokerage industry…