The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Financial Advisor Mark Jones (Jones), currently employed by Merrill Lynch, has been subject to at least nine customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), Jones’ customer…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Vincent Mazza (Mazza), formerly employed by National Securities Corporation (National Securities) has been subject to at least six customer complaints, six tax liens, and one regulatory action during the course of his career. According to records…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Joel Davidman (Davidman), currently employed by Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus) has been subject to at least three customer complaints, one employment termination for cause, and two regulatory actions during the course of his…
According to BrokerCheck records financial advisor Joseph Peggs (Peggs), currently employed by Ameriprise Financial Services, Inc. (Ameriprise) has been subject to one employment termination for cause, one regulatory action, and eight customer disputes during his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints…
The law offices of Gana Weinstein LLP are investigating broker Paul Mauro (Mauro), currently associated with SagePoint Financial, Inc. (SagePoint Financial) out of Westborough, Massachusetts. According to a BrokerCheck report, Mauro has been subject to at least nine customer disputes, two regulatory actions, and one criminal matter during the course…
The attorneys at Gana Weinstein LLP are currently investigating advisor Bud McLaughlin Jr. (McLaughlin), currently employed by Century Securities Associates, Inc. (Century Securities) out of Chaska, Minnesota. According to a BrokerCheck report, McLaughlin has been subject to at least one customer dispute, one regulatory action, and one bankruptcy disclosure during…
According to BrokerCheck records financial advisor Jesse Krapf (Krapf), currently employed by Benchmark Investments, Inc. (Benchmark Investments) has been subject to at least one customer complaint and two debt related judgements or tax liens. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Krapf’s customer complaints…
The securities fraud lawyers of Gana Weinstein LLP are investigating a regulatory complaint (Disciplinary No. 2015043159501) filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Kevin Murphy (Murphy). FINRA alleged that in or about November 2013, Murphy sold $1.2 million of shares and warrants in a private placement to…
The securities fraud lawyers of Gana Weinstein LLP are investigating a regulatory complaint (Disciplinary No. 1013038289101) filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Nixon (Nixon). FINRA alleged that Nixon failed to provide prior written notice to Bridge Capital Associates, Inc. (Bridge Capital), his then employing brokerage…
The securities fraud lawyers of Gana Weinstein LLP are investigating the regulatory action filed (Disciplinary Action No. 2014043025701) by The Financial Industry Regulatory Authority’s (FINRA) against broker Carlos Benavidez Jr (Benavidez). According to the allegations, between January 2013 and January 2015, Benavidez exercised discretion in 80 customer accounts without obtaining…
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