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Articles Posted in Securities Lawyer

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Morgan Stanley Broker Edward Barger has Four Customer Complaints

The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Edward Barger (Barger).  According to BrokerCheck records Barger has been subject to at least four customer complaints, two regulatory action, and one criminal matter.  The customer complaints against Barger…

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Customer Complaints Against Financial Advisor Michael Stern

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

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Customers File Suitability Complaints Against Merrill Lynch Advisor Lisa Wolf

The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Lisa Wolf (Wolf).  According to BrokerCheck records Wolf has been subject to at least six customer complaints.  The customer complaints against Wolf allege securities law violations that including unsuitable…

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Financial Advisor Roman Reed Discharged From Merrill Lynch Over Customer Complaint

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

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Investors File Excessive Trading Complaints Against Legend Securities Broker Bernardo Misseri

The securities fraud lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Bernardo Misseri (Misseri).  According to BrokerCheck records Misseri has been the subject of at least seven customer complaints, five judgements or liens, and two regulatory actions.  The customer…

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Broker Investigation: William Berg Unsuitable Oil and Gas Investments

The investment attorneys of Gana Weinstein LLP are investigating investor claims of unsuitable investments in oil and gas related products. Our firm is currently representing a number of investors who lost substantial savings due to poor advice to concentrate holdings in speculative commodities investments like master limited partnerships (MLPs). According…

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Plains All American Pipeline (PAA) Investor Recovery Options

The investment attorneys with Gana Weinstein LLP continue to report on investor related losses in oil and gas and commodities related investments. Investors may have potential legal remedies due to unsuitable recommendations by their broker to invest in this speculative and volatile area. Our firm represents securities investors in claims…

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Broker Spotlight: Centaurus Financial Advisor Marcious Dickerson

The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Marcious Dickerson (Dickerson). According to BrokerCheck records Dickerson has been the subject of 3 customer complaints. The customer complaints against Dickerson allege securities law violations that including unsuitable investments,…

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Broker Investigation: National Securities Advisor Kyle Harrington

The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Kyle Harrington (Harrington). According to BrokerCheck records Harrington has been subject to 6 customer complaints, one regulatory action, one employment separation, and one financial disclosure. The customer complaints against…

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Mutual Fund Kayne Anderson MLP Investor Recovery Options (KYN)

The investment attorneys with Gana Weinstein LLP continue to report on investor related losses in oil and gas and commodities related investments. Investors may have potential legal remedies due to unsuitable recommendations by their broker to invest in this speculative and volatile area. Our firm has been tracking a number…

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