According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Osbert Haynes (Haynes), currently employed by Laidlaw & Company (UK) Ltd. (Laidlaw), has been subject to two customer complaints, one regulatory action, and six tax liens or judgments. Most of a Haynes’ customer complaints allege that…
The securities attorneys at Gana Weinstein LLP are investigating claims against Coastal Equities, Inc. (Coastal Equities) broker Andrew Pravlik (Pravlik). According to BrokerCheck records, Pravlik has been subject to a regulatory matter in which the Financial Industry Regulatory Authority (FINRA) sanctioned Pravlik for various violations of the securities laws. In 2009, Pravlik…
Securities attorneys at Gana Weinstein LLP are investigating The O.N. Equity Sales Company (O.N. Equity Sales) broker Dennis Travis (Travis). According to BrokerCheck records, Travis has been subject to 6 customer disputes, one of which is still pending. The majority of these customer disputes involve the unsuitable recommendations of variable…
Gana Weinstein LLP is investigating the LJM Preservation and Growth Fund (Ticker Symbols LJMAZ, LJMCX, LIMIX). The LJM Funds relied extensively on a strategy that is designed to profit from calm markets. The LJM Preservation and Growth Funds collapsed and lost more than 80% of its value as a result…
Gana Weinstein LLP represented 19 Claimants in a FINRA arbitration against Anthony Diaz. A panel of arbitrators awarded the Claimants over $4 million. The case was picked up by major publications including the Washington Post and InvestmentNews. Adam Gana, managing partner of Gana Weinstein LLP said his clients “gave their…
The securities lawyers at Gana Weinstein LLP are investigating a customer complaint against Morgan Stanley broker Theodore Crowley (Crowley). According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), Theordore Crowley (Crowley) has been subject to a customer complaint. In June 2012, a customer alleged that from 2008…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joseph Cotter (Cotter) has been subject to two customer complaints, two employment terminations for cause, and one regulatory action. Cotter was formerly registered with Next Financial Group, Inc. (Next Financial). In March 2016 Next Financial terminated Cotter…
According to BrokerCheck records financial advisor Robert Hoffmann (Hoffmann), formerly associated with Thurston, Springer, Miller, Herd & Titak, Inc. (Thurston, Springer), has been subject to two customer complaints, one regulatory action, and one tax lien. According to records kept by The Financial Industry Regulatory Authority (FINRA), in January 2017 a…
The Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC (Wells Fargo) to pay more than $3.4 million in restitution to customers for unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures concerning the sales of these products. FINRA found…
According to BrokerCheck records financial advisor Joseph Rodriguez (Rodriguez), currently associated with Hennion & Walsh, Inc. (Hennion & Walsh), has been subject to four customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA) Rodriguez has been accused by customers of unsuitable investments among other claims. Most…