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Articles Posted in investment attorneys

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Broker Spotlight: Customer Complaints Against Merrill Lynch Broker John Boukamp

The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker John Boukamp (Boukamp). According to BrokerCheck records there are at least 10 customer complaints that have been filed against Boukamp. The most recent customer complaint against Boukamp filed in…

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FINRA Sanctions The Investment Center Broker Leon Vaccarelli Over Unauthorized Trades

The securities lawyers of Gana Weinstein LLP are investigating customer complaints against broker Leon Vaccarelli (Vaccarelli). The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2014042302001) against Vaccarelli. In addition, there are at least two customer complaints against Vaccarelli and two judgements or liens. The customer complaints…

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SEC Claims Advisory Firm Atlantic Asset Management Hid Conflicts of Interests From Clients

The Securities and Exchange Commission (SEC) announced fraud charges against a Stamford, Connecticut based investment advisory firm Atlantic Asset Management LLC (AAM) and accused the firm of investing clients in certain Native American tribal corporation bonds with a hidden financial benefit to a broker-dealer affiliated with the firm. The SEC…

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Broker Garland Benton Terminated For Private Securities Transactions

The investment lawyers of Gana Weinstein LLP are investigating customer complaints against broker Garland Benton (Benton). There are at least 3 customer complaints against Benton, one of which appears to be filed in connection with the solicitation of private securities transactions. In addition, there is one employment separations disclosed. One…

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Broker Investigation: Advisor Dennis Riordan

The investment lawyers of Gana Weinstein LLP are investigating customer complaints against broker Dennis Riordan (Riordan). According to Riordan’s BrokerCheck records there are at least 3 customer complaints against Riordan, 1 judgment or lien, and 2 criminal matters. The customer complaints against Riordan allege a number of securities law violations…

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Gana LLP Investigation: Excessive Trading Complaints Against Broker James Bernthal

The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Bernthal (Bernthal). According to BrokerCheck records there are at least 4 customer complaints against Bernthal and 1 judgments or liens. The customer complaints against Bernthal allege a number…

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Gana LLP Investigates Regulatory and Investor Complaints Against Broker Glenn King

The securities fraud attorneys of Gana Weinstein LLP are investigating potential recovery options for investors with broker Glenn King (King). Recently The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2015044444801). In addition, to the FINRA complaint, King’s BrokerCheck disclosures reveal an astonishing number of reported incidents…

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Broker Investigation: Wells Fargo Advisor Robert Giusti

The investment lawyers of Gana Weinstein LLP are investigating customer complaints against broker Robert Giusti (Giusti). There are at least 4 customer complaints against Giusti and one civil action. The customer complaints against Giusti allege a number of securities law violations including that the broker made unsuitable investments, misrepresentations, negligence,…

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Broker Investigation: TIC Complaints Against Sigma Financial Broker Tomas Velken

The investment attorneys at Gana Weinstein LLP are interested in speaking with investors of broker Tomas Velken (Velken). According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Velken has been the subject of at least 14 customer complaints. The customer complaints against Velken allege securities law violations…

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Broker Investigation: H. Beck’s Advisor Michael Child

The investment lawyers of Gana Weinstein LLP are investigating customer complaints against broker Michael Child (Child). There are at least 2 customer complaints against Child. In addition, there is one regulatory complaint and three employment separations disclosed. The customer complaints against Child allege a number of securities law violations including…

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