The law offices of Gana Weinstein LLP are currently investigating claims that advisor George Schmidt (Schmidt) has converted customer funds among other allegations. According to BrokerCheck records, Schmidt is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Lincoln Financial Advisors Corporation (Lincoln Financial) out of the firm’s…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Gerald Dewes (Dewes), working out of East Amherst, New York, has been barred by a financial regulator concerning allegations that he engaged in the sales of private securities among other allegations. Dewes was barred by The Financial…
The law offices of Gana Weinstein LLP continue to investigate the Woodbridge Group of Companies and the Woodbridge Mortgage Funds (Woodbridge). The Securities and Exchange Commission (SEC) has alleged that the Woodbridge operated a billion-dollar Ponzi scheme ensnaring about 8,400 investors. Woodbridge solicited hundreds of disreputable insurance agents and investment…
Advisor Peter Maller (Maller), currently employed by Lincoln Financial Advisors Corporation (Lincoln Financial) has been subject to at least three customer complaints during the course of his career. According to a BrokerCheck report the customer complaints concern alternative investments such as direct participation products (DPPs) like non-traded real estate investment…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor John Cahill (Cahill) has converted customer funds among other allegations. According to BrokerCheck records, Cahill is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Janney Montgomery Scott LLC (Janney). In addition, Cahill disclosed one…
Advisor Joseph Roop (Roop), formerly employed by Kalos Capital, Inc. (Kalos) has been subject to at least seven customer complaints and one bankruptcy during the course of his career. According to a BrokerCheck report some of the customer complaints concern alternative investments such as direct participation products (DPPs) like non-traded…
The law offices of Gana Weinstein LLP continue to investigate broker sales of the Walton Land Fund companies (Walton Land). Walton Land has been solicited many brokers across the country as investments in real estate. Walton Land is a highly speculative private placement that invests on vacant undeveloped properties that…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Carl Antaki (Antaki), currently associated with Network 1 Financial Securities Inc. (Network 1 Financial), has been subject to at least five customer complaints and one employment termination for cause during his career. Some of the investor complaints…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Benjamin Lowder (Lowder) has multiple client complaints concerning allegations that he engaged in the sales of private securities among other allegations. Lowder was also barred by The Financial Industry Regulatory Authority (FINRA) concerning his private securities sales…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Edward Rudiger (Rudiger), currently associated with Reid & Rudiger LLC (Reid & Rudiger), has been subject to at least six customer complaints and one lien or judgement matters during his career. The two most recent complaints against…