The law offices of Gana Weinstein LLP are currently investigating claims that Broker Jordan Allen (Allen) 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 Allen was employed by Fidelity Brokerage Services…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Guzman (Guzman), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guzman recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Bryan Moskowitz (Moskowitz), previously associated with Nylife Securities LLC, has been subject to at least one disclosable event. These events include one tax lien. Several of those complaints against Moskowitz concern allegations of high frequency trading activity…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Rudy Mejia (Mejia) 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 Mejia was employed by Estrada Hinojosa &…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker James Etter (Etter) 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 Etter was employed by Natalliance Securities, LLC…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gabriel Cooperman (Cooperman), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Cooperman 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 Travis Alexander (Alexander), previously associated with Raymond James Financial Services, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Alexander recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shaun Hayes (Hayes), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Hayes recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Blackman (Blackman), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blackman 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 John Lowry (Lowry), currently associated with Spartan Capital Securities, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory, alleging that Lowry recommended unsuitable investments in different investment products including debt securities…