The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Eric Ruthman (Ruthman), currently employed by Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Ruthman’s…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Stephen Krauss (Krauss), previously employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Krauss’s most…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anthony D’angelo (D’angelo), currently employed by Fmsbonds, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), D’angelo’s most recent…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Doran James (James), currently employed by J.w. Cole Financial, INC. has been subject to at least 3 disclosable events. These events include 3 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), James’s…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Joseph Barnas (Barnas), currently employed by Osaic Wealth, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Barnas’s most…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker John Micera (Micera), currently employed by RBC Capital Markets, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Micera’s…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Nicholas Stamatis (Stamatis), currently employed by Ameriprise Financial Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Stamatis’s…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jeffery Wimer (Wimer), previously employed by Citigroup Global Markets INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Wimer’s…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Michael Perez (Perez), currently employed by Truist Investment Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Perez’s…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Thomas Baer (Baer), currently employed by Arkadios Capital has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Baer’s most recent…