Advisor William Sines (Sines), currently employed by Berthel, Fisher & Company Financial Services, Inc. (Berthel Fisher) has been subject to at least four 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…
Advisor Genevieve Mar (Mar), currently employed by Berthel, Fisher & Company Financial Services, Inc. (Berthel Fisher) has been subject to at least four customer complaints and one termination for cause during the course of her career. According to a BrokerCheck report the customer complaints concerns alternative investments such as direct…
According to BrokerCheck records financial advisor John Neely (Neely), currently employed by St. Bernard Financial Services, Inc. (St. Bernard Financial) has been subject to at least one customer complaint, three regulatory actions, and one employment termination for cause. According to records kept by The Financial Industry Regulatory Authority (FINRA), Neely…
The investment fraud attorneys at Gana Weinstein LLP are currently investigating previously registered broker Mason Gann (Gann). According to BrokerCheck Records, Gann has been subject to a regulatory matter in which the Financial Industry Regulatory Authority (FINRA) sanctioned Gann for violations of the securities laws concerning unauthorized trading. In addition,…
Current Arete Wealth Management, LLC (Arete Wealth) broker Alvery Bartlett (Bartlett) has been subject to three customer complaints. According to a BrokerCheck report many of the complaints concern alternative investments, private placements, and direct participation products (DPPs) such as non-traded real estate investment trusts (REITs) and oil and gas programs. …
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…
Our firm is investigating claims made by various regulators and brokerage firms including Axiom Capital Management, Inc. (Axiom) and Financial West Group (FWG) concerning broker Sara Eng (Eng a/k/a Sara Aiping Ng). Eng is currently associated with brokerage firm Moloney Securities Co., Inc. (Moloney). The allegations revolve around Eng’s offering…
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Donald Levin (Levin) (FINRA No. 2014040335101) alleging that between December and April 2014, Levin hosted a weekly radio show and during that show he made statements that were unbalanced, promissory, misleading and lacked reasonable basis in violation of…
According to the records kept by the State of Florida, Office of Financial Regulation brokerage firm J.P. Turner & Company, L.L.C., (JP Turner) was sanctioned (Administrative Proceeding: 0757-S-12/13) concerning allegations that the firm’s broker, John McGriskin (McGriskin) engaged in mutual fund switching, a form of churning, in client accounts. From…
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker John Notman (Notman) has been the subject to an astonishing 31 customer complaints along with two firm terminations for cause. The customer complaints against Notman allege a number of securities law violations including that the broker made…