The law offices of Gana Weinstein LLP are currently representing investors who were surprised to find out that the “bonds” that were recommended by their advisors have almost completely stopped paying interest while plummeting in value. What many investors in this situation did not realize was that they were not…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Lawrence Delhagen (Delhagen), currently employed by Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus) has been subject to at least four customer complaints during the course of his career. According to records kept by The Financial Industry…
As we have previously reported, according to BrokerCheck records financial advisor William Byrd (Byrd) had several customer complaints filed against him in connection with his management of client accounts. Byrd is currently employed by B.B. Graham & Company, Inc. (BB Graham) and now been subject to at least five customer…
Advisor Anthony Hobson (Hobson), currently employed by Money Concepts Capital Corp (Money Concepts) has been subject to at least three customer complaints during the course of his career. According to a BrokerCheck report some of the customer complaints concerns alternative investments such as direct participation products (DPPs) like non-traded real…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor John Holland (Holland), currently employed by Cetera Advisor Networks LLC (Cetera Advisor) has been subject to at least three customer complaints and two employment termination for cause during the course of his career. According to records…
According to BrokerCheck records financial advisor Joseph Peggs (Peggs), currently employed by Ameriprise Financial Services, Inc. (Ameriprise) has been subject to one employment termination for cause, one regulatory action, and eight customer disputes during his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints…
Advisor Jeffrey Davis (Davis), currently employed by Kovack Securities Inc. (Kovack Securities) has been subject to at least ten customer complaints, one employment termination for cause, and one regulatory action during the course of his career. According to a BrokerCheck report some of the customer complaints concerns alternative investments such…
Our firm represents multiple clients who have been recommended GPB Capital Holdings (GPB Capital) related investments. GPB invests in a variety of businesses but primarily in auto dealerships and waste management businesses. However, over the past year controversy has embroiled GPB Capital in a saga including multiple regulatory investigations and…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Trevor Rahn (Rahn), formerly associated with J.P. Morgan Securities LLC (JP Morgan), has been subject to at least four customer complaints, one employment termination for cause, and one judgement or lien during his career. The majority of…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Dean Kajouras (Kajouras), currently employed by Fordham Financial Management, Inc. (Fordham Financial) has been subject to at least eight customer complaints, one employment termination for cause, one regulatory matter, and six judgement or liens during the…