Allegations Regarding the Termination Jose Gamez also known as “Joe Gamez”, an advisor in San Antonio, Texas, was fired by Raymond James regarding allegations that he “used client funds for personal reasons”. When individuals like Gamez are terminated by their brokerage firm for cause, the firm is required to file a form (called a Form…
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Are you a current or former customer of Solomon Tobal, formerly with Morgan Stanley in Paramus, New Jersey? If you have suffered financial losses, you may have legal options to recover your money. Allegations Against Solomon Tobal According to allegations from FINRA’s BrokerCheck, Tobal was permitted to resign by Morgan Stanley in July 2025. Morgan…
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Did you invest in the Bluerock Total Income + Real Estate Fund? The Bluerock Total Income + Real Estate Fund, which is a nontraded real estate investment, recently announced its desire to be publicly listed on the NYSE. However, the shareholders of this Bluerock fund did not get enough shareholders of the fund to approve…
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Did you invest with Lisa Boisselle in two crypto currency investments called NovaTech and HyperFund, also known as HyperVerse? If so, you’re not alone—and you may have legal options to recover your losses. The securities and investment fraud law firm of Israels & Neuman is investigating recent regulatory complaints made by the Arizona Corporation Commission…
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Did you lose money with Jason Hawke or D.H. Hill Securities? The securities arbitration law firm of Israels & Neuman is looking into allegations involving Jason Hawke, who was terminated by D.H. Hill Securities in August 2025. Allegations Regarding the Discharge of Jason Hawke FINRA’s BrokerCheck discloses that Jason Hawke was fired by D.H. Hill…
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Investors May Have Legal Options to Recover Their Losses Allegations of FINRA Patrick Pistor of New Braunfels, Texas was discharged by Equitable Advisors in February 2025. Equitable Advisors disclosed that he was “discharged for failure to comply with the Firm’s Outside Business Activity policy”. Generally, under FINRA Rule 3270, stockbrokers must get permission from their…
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FINRA’s Allegations FINRA alleged that it has started an investigation into Glenn Ngo, who was formerly with Park Avenue Securities in San Diego, California. They are investigating whether he participated in selling investments away from his firm. Investors may be able to recover losses by filing a claim through the securities law firm of Israels…
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FINRA Allegations Against Dennis Herrera FINRA has brought a regulatory action against Dennis Herrera of Aegis Capital in Miami, Florida, alleging that he violated Regulation Best Interest (Reg BI) by excessively trading or churning two customers’ accounts. If you lost money investing with Herrera, you may have legal options to recover your losses. The securities…
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Were you a client of Leroy Born, formerly at Wells Fargo? We are looking into claims involving Leroy Born, who formerly was a representative with Wells Fargo and worked in a Tustin, California office. Born was discharged by Wells Fargo in June 2025. Wells Fargo’s Allegations Regarding Firing Leroy Born FINRA’s BrokerCheck discloses the reasons…
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Were you a client of former Crito Capital financial advisors Jeffrey Galvani and Stuart Jeffery in New York, NY? Israels & Neuman, a securities arbitration firm, is looking into claims made against Jeffrey Galvani and Stuart Jeffery, who were both representatives of Crito Capital. FINRA and SEC Allegations FINRA began investigating Jeffrey Galvani and Stuart…
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