The law offices of Gana Weinstein LLP are currently investigating claims that Broker Joey Miller (Miller) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Miller was employed by Dai Securities, LLC…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Schmidt (Schmidt), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schmidt 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 Matthew Norton (Norton), currently associated with Mcdonald Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norton 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 Vincenzo Azzinnari (Azzinnari), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Azzinnari 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 Sidhant Nanda (Nanda), previously associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nanda 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 Leo Chien (Chien), previously associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chien 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 Sandro Olivos (Olivos), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olivos recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Dalton (Dalton), currently associated with Parkland Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dalton 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 Allan Proctor (Proctor), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Proctor recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Horowitz (Horowitz), currently associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Horowitz recommended unsuitable investments in different investment products including debt securities among…