According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), advisor Barbara Shaffer (Shaffer), currently employed at Cambridge Investment Research, Inc. (Cambridge), has been subject to at least four customer complaints during the course of her career. Several of those complaints against Shaffer allege that Shaffer engaged in…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Byron Treat (Treat) has been accused by a securities regulator of failing to supervise recommendations of certain illiquid investments. Treat was sanctioned by The Financial Industry Regulatory Authority (FINRA) concerning whether Treat reasonably supervised the sale of…
Broker Eric Felsenfeld (Felsenfeld), currently employed at Ameriprise Financial Services, LLC (Ameriprise) and formerly registered with Kingswood Capital Partners, LLC (Kingswood) has been subject to at least three customer complaint during the course of his career. The complaints alleges that Felsenfeld made unsuitable trading recommendations, and recommending an overconcentration of…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Allen Hershberg (Hershberg) has been accused by his former employer of engaging in business investment activities including undisclosed outside business activities (OBAs) and private securities transactions. According to records kept by The Financial Industry Regulatory Authority (FINRA),…
Advisor Valentino Scott (Scott), currently employed by brokerage firm Centaurus Financial, Inc. (Centaurus) has been subject to at least 10 disclosures including eight customer complaints, one regulatory action, and one employment termination for cause. According to a BrokerCheck report some of the customer complaints concern alternative investments such as direct…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Tyler Dean Delahunt (“Delahunt”) has been accused by a securities regulator of engaging in unapproved business activities among other allegations. Delahunt was sanctioned by The Financial Industry Regulatory Authority (FINRA) concerning his private securities and undisclosed outside…
The investment fraud attorneys at Gana Weinstein LLP have currently been investigating previously registered broker John Blakezuniga (Blakezuniga). According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Blakezuniga, has three regulatory disclosures on his profile. In 2017, Blakezuniga allegedly violated his firm’s policy when he borrowed $775,000…
Securities arbitration is a method of resolving disputes between investors and their brokers or brokerage firms, which is governed by the Financial Industry Regulatory Authority (FINRA). FINRA is a self-regulatory organization that oversees the securities industry and provides a forum for resolving disputes between investors and their brokers or brokerage…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Anthony Tricario (Tricario), formerly associated with Aegis Capital Corp. (Aegis), has been subject to at least three customer complaints and three regulatory complaints during his career. Several of those complaints against Tricario concern allegations of high frequency…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Kirk Badii (Badii) has at least eight disclosable events. These events include six customer complaints alleging that Badii engaged in some form of investment related misconduct in the handling of the client’s accounts. In addition, Badii has…