The law offices of Gana Weinstein LLP are currently investigating claims that advisor James Couture (Couture) has converted customer funds among other allegations. According to BrokerCheck records, Schmidt is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm LPL Financial LLC (LPL Financial) out of the firm’s Worcester,…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Steven Rodemer (Rodemer) has been accused by his former employer and a financial regulator of taking money from a client account for his personal use among other allegations. According to records kept by The Financial Industry Regulatory…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Paris Lewis (Lewis) has been accused by his former employer of borrowing funds from a client among other allegations. According to records kept by The Financial Industry Regulatory Authority (FINRA) Lewis has been terminated by his two…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor John Cahill (Cahill) has converted customer funds among other allegations. According to BrokerCheck records, Cahill is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Janney Montgomery Scott LLC (Janney). In addition, Cahill disclosed one…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Gerald Eaton (Eaton) was terminated by his firm and then barred from the securities industry over allegations that he engaged in wrongful taking of customer funds among other allegations. According to BrokerCheck records, Eaton was formerly registered…
The law offices of Gana Weinstein LLP are currently investigating multiple claims that advisor Robert High (High) has engaged in a misappropriation scheme. High, formerly registered with First Financial Equity Corporation (First Financial) and operating out of Scottsdale, Arizona, has been accused by a customer of engaging in securities fraud…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Hellman (Hellman), formerly associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. In December…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor John Schmidt (Schmidt), formerly associated with Wells Fargo Advisors Financial Network, LLC (Wells Fargo) in Dayton, Ohio has been accused by the Securities and Exchange Commission (SEC) of misappropriating over $1.16 million from at least seven…