Advisor Scot Fairchild (Fairchild), currently employed by Lucia Securities, LLC (Lucia Securities) has been subject to at least two customer complaints during the course of his career. According to a BrokerCheck report one of the customer complaint concerns alternative investments such as direct participation products (DPPs) like business development companies…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor John Jaramillo (Jaramillo) has been accused by his former employer of selling a non-approved product among other allegations. According to records kept by The Financial Industry Regulatory Authority (FINRA) Jaramillo has been terminated by his prior employer,…
Advisor Marc Linsky (Linsky), currently employed by ProEquities, Inc. (ProEquities) has been subject to at least one customer complaint during the course of his career. According to a BrokerCheck report one of the customer complaints appears to concern fraudulent GPB Capital Holdings (GPB Capital) related investments. GPB Capital is facing…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Ferrell Rollins (Rollins) has been accused by his former employer of borrowing client funds among other allegations. According to records kept by The Financial Industry Regulatory Authority (FINRA) Rollins has been terminated by his prior employer, Capital…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Jason LaBelle (LaBelle) has been accused by a securities regulator of potentially engaging in the sales of private securities among other allegations. LaBelle was sanctioned by The Financial Industry Regulatory Authority (FINRA) concerning his private securities and…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Paris Lewis (Lewis) has been accused by his former employer of borrowing funds from a client among other allegations. According to records kept by The Financial Industry Regulatory Authority (FINRA) Lewis has been terminated by his two…
Due to recent market decline and volatility, the investment attorneys of Gana Weinstein LLP have been contacted by a number of investors who hold non-purpose loans secured by their brokerage accounts. Due to market movements, investment losses have jeopardized their ability to repay the loan. In other situations advisors have…
Former stockbroker James Kirchner (Kirchner), former employed by brokerage firms David A. Noyes & Company (David Noyes), IFS Securities, and Cabot Lodge Securities LLC (Cabot Lodge) has been subject to at least seven customer complaints and one employment terminations for cause during the course of his career. According to a…
The investment attorneys of Gana Weinstein LLP are investigating investor claims of unsuitable investments in oil and gas related products. Our firm is currently representing a number of investors who lost substantial savings due to poor advice to concentrate holdings in speculative commodities investments like master limited partnerships (MLPs). Goldman…
Advisor William Braun (Braun), currently employed by National Securities Corporation (National Securities), has been subject to at least eight customer complaints and regulatory action during the course of his career. According to a BrokerCheck report some of the customer complaints concern private placements. The attorneys at Gana Weinstein LLP have…