The law offices of Gana Weinstein LLP are currently investigating claims that advisor John Jaramillo (Jaramillo) has been accused by his former employer of selling a non-approved product among other allegations. According to records kept by The Financial Industry Regulatory Authority (FINRA) Jaramillo has been terminated by his prior employer,…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Dana Vietor (Vietor) has been accused by his former employer and a financial regulator of selling a non-approved product among other allegations. According to records kept by The Financial Industry Regulatory Authority (FINRA) Vietor was terminated by…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Gerald Dewes (Dewes), working out of East Amherst, New York, has been barred by a financial regulator concerning allegations that he engaged in the sales of private securities among other allegations. Dewes was barred by The Financial…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Jun (Justine) Zhou (Zhou) was discharged by her employer after being accused of offering securities not reported to the company. According to BrokerCheck records, Zhou is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Bobby Coburn (Coburn) engaged in undisclosed outside business activities (OBAs) and private securities transactions that were not approved by the brokerage firm. Coburn, formerly registered with Securities America, Inc. (Securities America) was subject to a regulatory investigation…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Bryan Clark (Clark), formerly associated with Madison Avenue Securities, LLC (Madison Securities), was accused of selling securities without informing his brokerage firm. According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Clark has three…
The law offices of Gana Weinstein LLP are currently investigating claims that advisors Gurpreet Chandhoke (Chandhoke) and Stephen Shea (Shea) are subject to a complaint filed by The Financial Industry Regulatory Authority (FINRA) concerning their actions selling VII Peaks Capital to investors. The two representatives were registered with the same…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor David Volpe (Volpe) engaged in private securities transactions and borrowed customer funds that were not approved by his brokerage firm. Volpe, formerly registered with First Financial Equity Corporation (First Financial) and LPL Financial LLC (LPL Financial) was…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Michael Rappa (Rappa) engaged in undisclosed and unapproved private securities transactions. According to records kept by The Financial Industry Regulatory Authority (FINRA), Rappa, formerly registered with Foresters Equity Services, Inc. (Foresters Equity) out of San Diego, California…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James Anderson (Anderson), formerly associated with Ameritas Investment Corp. (Ameritas), and operating under the d/b/a name Central Financial Group was terminated by Ameritas in February 2019. Anderson was accused by Ameritas, upon conclusion of internal investigation, that…