The securities lawyers at Gana Weinstein LLP are investigating a customer complaint against Morgan Stanley broker Theodore Crowley (Crowley). According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), Theordore Crowley (Crowley) has been subject to a customer complaint. In June 2012, a customer alleged that from 2008…
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), broker Brent Van Lott (Lott) is being investigated for allegedly violating FINRA rules. Lott has also been subject to three customer disputes. In January 2016, a customer alleged Lott initiated trades without the customer’s written consent. This dispute…
The securities attorneys at Gana Weinstein LLP are interested in hearing from investors who lost money due to the mishandling of their accounts by broker Keith Michelfelder (Michelfelder). According to BrokerCheck records, in August 2017, FINRA sanctioned Keith Michelfelder (Michelfelder) for allegedly effecting “at least 16 transactions in the accounts…
The investment lawyers at Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Luigi Mancusi (Mancusi). According to BrokerCheck records, Mancusi allegedly “exercised discretion in effecting 45 transactions in a customer’s accounts without prior written authorization from the customer to exercise discretion…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Brian Royster (Royster), formerly associated with HD Vest Investment Services (HD Vest), in November 2017, was barred from the financial industry by FINRA concerning allegations that he borrowed funds from clients. FINRA found that Royster consented to…
Current Berthel, Fisher & Company Financial Services, Inc. (Berthel Fisher) broker Jonathan Pyne (Pyne) has been subject to five customer complaints. According to a BrokerCheck provided by The Financial Industry Regulatory Authority (FINRA), the primary regulator for securities broker dealers, many of the complaints concern alternative investments. Alternative investments include…
The law offices of Gana Weinstein LLP recently filed a complaint before The Financial Industry Regulatory Authority (FINRA) on behalf of a couple against brokerage firm Comprehensive Asset Management and Servicing, Inc. (CAMAS) and Tamara Steele (Steele) concerning Steele’s recommendation to invest substantial sums in Behavior Recognition Systems (BRS) (n/k/a…
The investment lawyers of Gana Weinstein LLP are investigating claims against Robert Clarke (Clarke). According to BrokerCheck records, Clarke has five disclosures, four of them being customer complaints. In August 2017, a customer alleged Clarke misrepresented the nature of an investment and the purchase of the investment in the customer’s…
According to BrokerCheck records financial advisor James Lowther (Lowther), employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), has been subject to two customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA) Lowther has been accused by a customers of unsuitable investment advice concerning…
The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Kenneth Savino (Savino). According to BrokerCheck records, Savino allegedly purchased shares of a security for $100,000 without providing prior notice to his member firm and Savino inaccurately indicated on…