According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Fasciglione (Fasciglione), previously associated with Aegis Capital Corp., has at least 10 disclosable events. These events include 7 customer complaints, 3 regulatory, alleging that Fasciglione recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Giacalone (Giacalone), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Giacalone recommended unsuitable investments in different investment products including debt securities among other allegations…
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 securities and investment lawyers of Gana Weinstein LLP are investigating customer complaints filed with the Financial Industry Regulatory Authority (FINRA) against broker Malcolm Segal (Segal). According to FINRA’s BrokerCheck record, there are at least 11 disclosures on Segal’s record including customer complaints, multiple regulatory actions, and one employment separation…
The securities and investment lawyers of Gana Weinstein LLP are investigating customer complaints filed with the Financial Industry Regulatory Authority (FINRA) against broker David James Mura (Mura). According to FINRA’s BrokerCheck records for Mura, there are at least 14 disclosures on Mura’s record including customer complaints, multiple regulatory actions, and…
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael McDonald (McDonald) has been the subject of at least 5 customer complaints. Customers have filed complaints against McDonald alleging securities law violations including claims of churning and excessive trading, unsuitable investments, excessive commissions, unauthorized trading, breach…