According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Stephen Medina (Medina), currently associated with Merrill Lynch, Pierce, Fenner & Smith Inc., has at least six disclosable events. These events include six customer complaints alleging that Medina recommended unsuitable investments in different investment products. FINRA…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Gustavo Miramontes (Miramontes), currently associated with Oppenheimer & Co. Inc., has at least fourteen disclosable events. These events include eleven customer complaints alleging that Miramontes recommended unsuitable investments in different investment products. FINRA BrokerCheck shows a…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Manuel Ramos (Ramos), currently associated with Centaurus Financial, Inc. and Nestyield ETFs, has at least five disclosable events. These events include five customer complaints alleging that Ramos recommended unsuitable investments in different investment products. FINRA BrokerCheck…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Patrick Mendenhall (Mendenhall), currently associated with U.S. Capital Wealth Advisors, LLC and USCA Securities LLC, has at least four disclosable events. These events include four customer complaints alleging that Mendenhall recommended unsuitable investments in different investment…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Nicholas Stamatis (Stamatis), currently employed by Ameriprise Financial Services, LLC (Ameriprise) has been subject to at least one customer complaint during the course of his career. According to records kept by The Financial Industry Regulatory Authority…
Former financial advisor Keith Dagostino (Dagostino), formerly employed by brokerage firms Aegis Capital Corp (Aegis) and EF Hutton LLC (EF Hutton) has been subject to at least 18 customer complaints during the course of his career. According to a BrokerCheck reports most of the recent customer complaints concern either equity…
Financial advisor Victor Lessinger (Lessinger), formerly employed by brokerage firm Colorado Financial Services Corporation (Colorado Financial) has been suspended by The Financial Industry Regulatory Authority (FINRA). In addition, Lessinger has been subject to at least four other regulatory complaints and one customer complaint during the course of his career. In…
Financial advisor James Paige (Paige), currently employed by brokerage firm Wells Fargo Clearing Services, LLC (Wells Fargo) has been subject to at least five customer complaints and one tax lien or judgement during the course of his career. According to the most recent complaints, Paige has been accused by customers…
The attorneys at Gana Weinstein LLP are investigating claims that investors were recommended to invest substantial amounts of their savings in high risk stock Super Micro Computer, Inc. (SMCI). Investors whose advisors failed to act in their clients best interests may seek recovery before The Financial Industry Regulatory Authority (FINRA).…
Former financial advisor Glennon Cole (Cole), formerly employed by brokerage firm Moloney Securities Co., Inc. (Moloney) has been subject to at least 13 customer complaints, one tax lien, one employment termination for cause, and one criminal matter during the course of his career. According to a BrokerCheck reports most of…