Articles Posted in Investor Fraud

Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC) against broker Richard Cody (Cody) that involves potentially millions in either stolen client funds or misrepresentations concerning the state of their accounts.  Cody is a formerly associated broker with brokerage firms…

Our firm is investigating claims made by Securities and Exchange Commission (SEC) against broker Peter Kohli (Kohli), DMS Advisors, Inc. (DMS Advisors), and Marshad Capital Group, Inc. (Marshal).  See SEC v. Peter R. Kohli, et al, (E.D. Pa.). According to the SEC, from 2012 through 2015 Kohli lied to induce…

The securities fraud lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Christopher Cowans (Cowans).  According to BrokerCheck records Cowans has been the subject of at least nine customer complaints and one regulatory action.  The customer complaints against Cowans allege…

In May 2016 the Department of Justice (DOJ) filed a five-count indictment in New York against nine defendants including Jared Mitchell, the Managing Partner of Mitchell & Sullivan Capital LLC; Richard Brown, a registered broker with Chelsea Financial Services; Christopher Castaldo, the Chief Executive Officer of Stock Traders Press Inc.…

The securities lawyers of Gana Weinstein LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Mitchell Foote (Foote).  According to BrokerCheck records Foote has been subject to at least four customer complaints.  The customer complaints against Foote alleges securities law violations that including…

The securities lawyers of Gana Weinstein LLP are investigating a customer complaint filed with The Financial Industry Regulatory Authority (FINRA) against National Securities Corporation (National Securities) broker Jason Wilk (Wilk).  According to BrokerCheck records Wilk has been subject to at least one customer complaint.  The customer complaints against Wilk alleges…

The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Charles Geraci (Geraci). According to BrokerCheck records Geraci is subject to six customer complaints. The customer complaints against Geraci allege securities law violations that including unsuitable investments, breach of…

The securities fraud attorneys of Gana Weinstein LLP are investigating fraud charges by The Securities and Exchange Commission (SEC) against American Growth Funding II, LLC, Portfolio Advisors Alliance, Inc., Ralph C. Johnson (Johnson), Howard J. Allen III (Allen) and Kerri L. Wasserman (Wasserman) accusing the defendants of repeatedly lying to…

The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Stanley Keyes (Keyes). According to BrokerCheck records Keyes is subject to 5 customer complaints, 1 regulatory action, and 2 employment separations. The customer complaints against Keyes allege securities law…

The securities lawyers of Gana Weinstein LLP are investigating customer complaints and a FINRA action against broker William Watson (Watson). The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2013038091901) against Watson. In addition, there are at least five customer complaints against Watson and four judgements or…