The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Juan Barreras (Barreras), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) has been subject to at least five customer complaints during the course of his career. According to records kept by The…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Dana Vietor (Vietor) has been accused by his former employer and a financial regulator of selling a non-approved product among other allegations. According to records kept by The Financial Industry Regulatory Authority (FINRA) Vietor was terminated by…
The investment attorneys with Gana Weinstein LLP are investigating investors who were inappropriately recommended UBS ETRACs related investments. Investors may have potential legal remedies due to unsuitable recommendations by their broker to invest in these speculative and volatile investment offerings. UBS ETRACs are exchange-traded notes that track and provide monthly…
The attorneys at Gana Weinstein LLP are investigating potential claims against brokerage firms for selling securities issued by entities related to EquiAlt, LLC. EquiAlt purports to be a private real estate company with at least four private placements offerings: EquiAlt Fund, LLC; EquiAlt Fund II, LLC; EquiAlt Fund III, LLC;…
Advisor Rena Morris (Morris), currently employed by Lighthouse Capital Group, LLC (Lighthouse Capital Group, LLC), has been subject to at least two customer complaints during the course of her career. According to a BrokerCheck one of the customer complaints concerns private placement sales of Tenant-in-Common (TIC) real estate products. The…
Advisor Lee Kramer (Kramer), currently employed by FSC Securities Corporation (FSC Securities), has been subject to at least two customer complaints, seven regulatory actions, and two employment terminations for cause during the course of his career. According to a BrokerCheck report one of the customer complaints concern alternative investments such…
According to BrokerCheck records financial advisor John Davenport (Davenport), currently employed by Liberty Partners Financial Services, LLC (Liberty Partners) has been subject to three customer complaints, one regulatory action, one employment termination for cause, one bankruptcy, and two judgement or tax liens during his career. According to records kept by…
Advisor Stephen Holt (Holt), currently employed by Lighthouse Capital Group, LLC (Lighthouse Capital Group, LLC), has been subject to at least two customer complaints during the course of his career. According to a BrokerCheck those customer complaints concern private placement sales of Tenant-in-Common (TIC) real estate products. The attorneys at…
Advisor Dustin Shafer (Shafer), currently employed by Newbridge Securities Corporation (Newbridge Securities), has been subject to at least seven customer complaints and two tax liens or judgement during the course of his career. According to a BrokerCheck report one of the customer complaints concern alternative investments such as direct participation…
Advisor Timothy Touloukian (Touloukian), currently employed by Paulson Investment Company LLC (Paulson Investment), has been subject to at least four customer complaints, two employment terminations for cause, four regulatory actions, and two judgement or tax liens during the course of his career. According to a BrokerCheck report some of the…