Israels & Neuman, PLC Investigates Mark Perry, Formerly of Brokers International Financial Services Have you lost money with financial advisor Mark Christopher Perry (CRD# 2197284), formerly of Brokers International Financial Services, in Carmel, Indiana?  We are investigating allegations of former customers related to Mark Perry. Perry’s BrokerCheck report, a public record maintained by FINRA, states …
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TransAmerica Financial Advisors Settles with FINRA for $8.7 Million Regarding Supervisory Failures We are currently investigating allegations made against TransAmerica Financial Advisors, Inc., a St. Petersburg, Florida-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against TransAmerica Financial Advisors, making allegations that it failed to supervise representatives regarding sales of …
Read More "Losses with TransAmerica – $8.7 Million Fine – Restitution ORDERED"

PHX Financial Settles with FINRA Regarding Supervisory Failures We are currently investigating allegations made against PHX Financial, Inc., a New York, New York-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against PHX Financial and Robert Delaplain, making allegations that it failed to supervise representatives for excessive trading or churning.  …
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Frank Howard Zito, formerly with Merrill Lynch, Suspended by FINRA for 16 Months Have you lost money with financial advisor Frank Zito?  We are looking into allegations made about Frank Howard Zito from Ridgeland, Mississippi.  FINRA (the Financial Industry Regulatory Authority) suspended Frank Zito from the securities industry for sixteen months and ordered a $10,000 …
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Rawad Alame, formerly with Merrill Lynch, Suspended by FINRA Have you lost money with financial advisor Rawad Alame?  We are looking into allegations made about Rawad Roy Alame from Raleigh, North Carolina.  FINRA (the Financial Industry Regulatory Authority) suspended Rawad Alame from the securities industry for six months, a $5,000 fine, and restitution of $2,700.  …
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Gautam Arora, formerly with TransAmerica Financial Advisors, Barred by FINRA Have you lost money with financial advisor Gautam Arora?  We are looking into allegations made about Gautam Arora from Orange, California.  FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry.  FINRA alleged that Gautam Arora failed to respond to its investigation.  FINRA …
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Michael Shillin, formerly with Alliance Global Partners, Barred by FINRA Have you lost money with financial advisor Michael Shillin?  We are looking into allegations made about Michael F. Shillin from Altoona, Wisconsin.  FINRA (the Financial Industry Regulatory Authority) barred Michael Shillin from the securities industry.  FINRA alleged that Michael Shillin failed to respond to its …
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Najib Khan, formerly with Citigroup Global Markets, Barred by FINRA Have you lost money with financial advisor Najib Khan?  We are looking into allegations made about Najib H. Khan from Richmond Hill, New York.  FINRA (the Financial Industry Regulatory Authority) barred Najib Khan from the securities industry.  FINRA alleged that Najib Khan failed to respond …
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Michael Tavel, formerly with LPL Financial, Suspended 18 Months by FINRA Have you lost money with financial advisor Michael Tavel?  We are looking into allegations made about Michael A. Tavel from Indianapolis, Indiana.  FINRA (the Financial Industry Regulatory Authority) suspended Tavel from the securities industry for eight months and to pay a $20,000 fine.  FINRA …
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Brian Radoo, formerly with Next Financial Group, Barred by FINRA Have you lost money with financial advisor Brian Radoo?  We are looking into allegations made about Brian Radoo from North Woodmere, New York.  FINRA (the Financial Industry Regulatory Authority) barred Brian Radoo from the securities industry.  FINRA alleged that Brian Radoo failed to respond to …
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