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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joey Miller (Miller), currently associated with Dai Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Beam (Beam), previously associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Beam recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cara Miller (Miller), previously associated with Proequities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Po recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elaine Zito (Zito), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Zito recommended unsuitable investments in different investment products including debt securities among other allegations…
Previously financial advisor Mark Vanvoorhees (Vanvoorhees), previously employed by brokerage firm Berthel, Fisher & Company Financial Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Jackson (Jackson), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jackson recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heath Goldstein (Goldstein), previously associated with Vestech Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Goldstein recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Kemp (Kemp), currently associated with Mcnally Financial Services Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Kemp recommended unsuitable investments in different investment products including debt securities among other…