Securities arbitration is a method of resolving disputes between investors and their brokers or brokerage firms, which is governed by the Financial Industry Regulatory Authority (FINRA). FINRA is a self-regulatory organization that oversees the securities industry and provides a forum for resolving disputes between investors and their brokers or brokerage…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Shawn Good (Good) has been accused by clients and regulators of engaging in fraudulent investment activities including undisclosed outside business activities (OBAs) and a ponzi scheme. According to records kept by The Financial Industry Regulatory Authority (FINRA),…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor James Couture (Couture) has converted customer funds among other allegations. According to BrokerCheck records, Schmidt is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm LPL Financial LLC (LPL Financial) out of the firm’s Worcester,…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Michael Shillin (Shillin) has been accused by numerous clients of engaging in fraudulent investment activities including undisclosed outside business activities (OBAs) and private securities transactions. According to records kept by FINRA Shillin was employed by Alliance Global…
The law offices of Gana Weinstein LLP are currently investigating claims that advisory firm Yellowstone Partners, LLP, of Idaho Falls, and its two principals, David Hansen (Hansen) and Cameron High (High) fraudulently overbilled clients and charged fees for work not performed. According to records kept by The Financial Industry Regulatory…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Ronald Hannes (Hannes) has been accused by a financial regulator of engaging in converting client funds among other allegations. According to records kept by The Financial Industry Regulatory Authority (FINRA) Hannes was employed by his prior employer…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor George Schmidt (Schmidt) has converted customer funds among other allegations. According to BrokerCheck records, Schmidt is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Lincoln Financial Advisors Corporation (Lincoln Financial) out of the firm’s…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor John Cahill (Cahill) has converted customer funds among other allegations. According to BrokerCheck records, Cahill is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Janney Montgomery Scott LLC (Janney). In addition, Cahill disclosed one…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Lester Burroughs (Burroughs) is converted customer funds among other allegations. According to BrokerCheck records, Burroughs is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Lincoln Investment. In addition, Burroughs disclosed 17 customer complaints. If…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Gerald Eaton (Eaton) was terminated by his firm and then barred from the securities industry over allegations that he engaged in wrongful taking of customer funds among other allegations. According to BrokerCheck records, Eaton was formerly registered…