The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Raul Benitez (Benitez), formerly employed by Wells Fargo Clearing Services , LLC (Wells Fargo) has been subject to at least six customer complaints and one termination for cause during the course of his career. According to…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Sandberg (Sanberg), currently associated with Ameriprise Financial Services, LLC (Ameriprise), has been subject to ten customer complaints and one regulatory action during his career. Several of those complaints against Sandberg allege that Sandberg recommended unsuitable investments in…
Advisor Brian Roth (Roth), currently employed by brokerage firm Newbridge Securities Corporation (Newbridge Securities) has been subject to at least nine disclosures including four customer complaints, one regulatory action, and four judgement or liens. According to a BrokerCheck report some of the customer complaints concern alternative investments such as direct…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Eduardo Da Cruz (Da Cruz) has at least one disclosable event. This event is a customer complaint alleging that Da Cruz engaged in some form of investment related misconduct in the handling of the client’s accounts. Da…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Thomas S. Martin (Martin), currently employed by Brighton Securities Corp. (Brighton Securities) has been subject to at least two customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Dean Robert Nowak (Nowak), currently employed by Newbridge Securities Corporation (Newbridge), has been subject to at least three customer complaints in his career. According to records kept by the Financial Industry Regulatory Authority (FINRA), Nowak’s customer complaint alleges…
Advisor Frederick Atiyeh (Atiyeh), currently employed by brokerage firm Crown Capital Securities, L.P. (Crown Capital) has been subject to at least four disclosures and customer complaints. According to a BrokerCheck report the customer complaints concern alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Frank Louis Avallone (Avallone), currently employed by Ceros Financial Services, Inc (Ceros) and formerly registered with National Securities Corporation (NSC) has been subject to at least four customer complaints during the course of his career. According…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Robert Allan Mann (Mann), currently employed by B. Riley Wealth Management after the firm acquired National Securities Corporation (NSC) has been subject to at least three customer complaints during the course of his career. According to records…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Rodrigue Lors (Lors), currently employed by Wilmington Capital Securities, LLC (Wilmington Capital Securities) has been subject to at least seven customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority…