According to BrokerCheck records financial advisor George Shadie (Shadie), formerly employed by NYLife Securities LLC (NYLife Securities) has been subject to one employment termination for cause, five customer disputes, and three civil liens or judgements during his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), the…
The attorneys at Gana Weinstein LLP are currently investigating claims against broker Sergio Rovner (Rovner), currently associated with Aegis Capital Corp. (Aegis) out of New York, New York. According to a BrokerCheck report, Rovner has been subject to at least six customer disputes and two regulatory actions during the course…
The law offices of Gana Weinstein LLP are currently investigating claims made by The Securities and Exchange Commission (SEC) in which the agency charged a Pennsylvania investment adviser, Brenda Smith (Smith) with operating an investment advisory fraud involving over $100 million in investments. In conjunction with the SEC action the…
The law offices of Gana Weinstein LLP are investigating broker Paul Mauro (Mauro), currently associated with SagePoint Financial, Inc. (SagePoint Financial) out of Westborough, Massachusetts. According to a BrokerCheck report, Mauro has been subject to at least nine customer disputes, two regulatory actions, and one criminal matter during the course…
The law offices of Gana Weinstein LLP are currently investigating multiple claims that advisor Derrick Trussell (Trussell) has engaged in an investment fraud scheme by selling products not approved by his brokerage firm. Trussell, formerly registered with PFS Investments Inc. (PFS Investments) out of San Antonio, Texas has been accused…
The law offices of Gana Weinstein LLP are currently investigating multiple claims that advisor Edward Matthes (Matthes) has engaged in a misappropriation scheme. Matthes, formerly registered with Mutual of Omaha Investor Services, Inc. (Mutual of Omaha) and operating out of Oconomowoc, Wisconsin, has been accused by more than 10 customers…
According to BrokerCheck records financial advisor Mark Augusta (Augusta), currently employed by Hilltop Securities, Inc. (Hilltop Securities) has been subject to at least an astonishing 19 customer complaints and one employment termination for cause. According to records kept by The Financial Industry Regulatory Authority (FINRA), Augusta’s customer complaints allege that…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor George McCaffrey (McCaffrey), formerly associated with NTB Financial Corporation (NTB Financial), in September 2018, was sanctioned and suspended from the securities industry by FINRA over accusations of potentially selling unapproved products. In September 2018 FINRA alleged that…
According to BrokerCheck records financial advisor Kari Bracy (Bracy), currently employed by NYLife Securities LLC (NYLife Securities) has been subject to one customer complaint during his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaint against Bracy concerns allegations of unsuitable investments in Future Income…
According to BrokerCheck records financial advisor Alan Siegel (Siegel), currently employed by G.A. Repple & Company (GA Repple) has been subject to four customer complaints, one regulatory complaint, and one criminal matter. According to records kept by The Financial Industry Regulatory Authority (FINRA), in July 2018 Siegel was subject to…