The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor John Dobbertin (Dobbertin), currently employed by American Portfolios Financial Services, Inc. (American Portfolios) has been subject to at least one customer complaint, one regulatory sanctions, one criminal disclosure, and one termination for cause. According to records…
The law offices of Gana Weinstein LLP are currently investigating claims against broker Jeffrey Poosch (Poosch), currently associated with Summit Brokerage Services, Inc. (Summit Brokerage) out of Fort Gratiot, Michigan. According to a BrokerCheck report, Poosch has been subject to at least four customer disputes during the course of his…
The law offices of Gana Weinstein LLP are investigating broker Marilyn Zehntner (Zehntner), currently associated with Rhodes Securities, Inc. (Rhodes Securities) out of Fort Worth, Texas. According to a BrokerCheck report, Zehntner has been subject to at least one customer dispute during her career. According to records kept by The…
The securities attorneys at Gana Weinstein LLP are investigating advisor Herbert Shiraishi (Shiraishi), currently registered with Independent Financial Group, LLC (Independent Financial) out of Honolulu, Hawaii and Hilo, Hawaii. According to a BrokerCheck report, Shiraishi has been subject to at least four customer complaints and one employment termination for cause…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Michael Stanton (Stanton), currently employed by Worden Capital Management LLC (Worden Capital) has been subject to at least four customer complaints, two regulatory complaints, and nine financial disclosures and or tax and civil liens. According to…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Kerry Hoffman (Hoffman) engaged in undisclosed outside business activities (OBAs) and investment sales that were not approved by his brokerage firm. Hoffman, formerly registered with LPL Financial LLC (LPL Financial) and Union Capital Company (Union Capital) was…
Advisor Richard Braverman (Braverman), currently employed by Geneos Wealth Management, Inc. (Geneos Wealth) has been subject to at least five customer complaints during the course of his career. According to a BrokerCheck report the customer complaints mostly concerns alternative investments such as direct participation products (DPPs) like non-traded real estate…
The law offices of Gana Weinstein LLP is reporting on public disclosures on advisor David Crane (Crane), currently registered with Centaurus Financial, Inc. (Centaurus Financial) out of Dacula, Georgia. According to a BrokerCheck report, Crane has been subject to at least one customer dispute. In addition, Crane disclosed five tax…
According to BrokerCheck records financial advisor Michael Sims (Sims), formerly employed by Wedbush Securities Inc. (Wedbush Securities), has been subject to at least four customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority (FINRA) Sims has been accused by multiple customers…
The securities lawyers of Gana Weinstein LLP are currently investigating customer complaints against broker John Boatright (Boatright), formerly associated with Newbridge Securities Corporation (Newbridge Securities) out of Duluth, Georgia. According to a BrokerCheck report, Boatright has been subject to at least three customer disputes and one large tax lien during…