Broker Eric Felsenfeld (Felsenfeld), currently employed at Ameriprise Financial Services, LLC (Ameriprise) and formerly registered with Kingswood Capital Partners, LLC (Kingswood) has been subject to at least three customer complaint during the course of his career. The complaints alleges that Felsenfeld made unsuitable trading recommendations, and recommending an overconcentration of…
Advisor Brian Roth (Roth), currently employed by brokerage firm Newbridge Securities Corporation (Newbridge Securities) has been subject to at least nine disclosures including four customer complaints, one regulatory action, and four judgement or liens. According to a BrokerCheck report some of the customer complaints concern alternative investments such as direct…
Advisor Jerry Tuma (Tuma), currently employed by brokerage firm Independent Financial Group, LLC (Independent Financial) has been subject to at least five disclosures and customer complaints. According to a BrokerCheck report the customer complaints concern investment advisory activity and one complaint involves alternative investments such as direct participation products (DPPs)…
Advisor David Bibo (Bibo), currently employed by brokerage firm Western International Securities, Inc. (Western International) has been subject to at least four customer complaints, one termination for cause, and two criminal matters during the course of his career. According to a BrokerCheck report several of the customer complaints concern alternative…
Advisor Kevin Houser (Houser), currently employed by brokerage firm Ameriprise Financial Services, LLC (Ameriprise) has been subject to at least four customer complaints during the course of his career. According to a BrokerCheck report several of the customer complaints concern alternative investments such as direct participation products (DPPs) like business…
Advisor Gary Ginsberg (Ginsberg), currently employed by brokerage firm Ameriprise Financial Services, LLC (Ameriprise) has been subject to at least four customer complaints and one regulatory action during the course of his career. According to a BrokerCheck report several of the customer complaints concern alternative investments such as direct participation…
The securities lawyers of Gana Weinstein LLP are investigating recommendations by brokerage firms for their clients to invest in RW Holdings NNN REIT Inc., formerly known as Rich Uncles NNN REIT Inc.,- a non-traded real estate investment trust (non-traded REIT). RW Holdings originally sold shares for $10.00. The fund claims…
Advisor Gary Barth (Barth), currently employed by Ameritas Investment Company, LLC (Ameritas) has been subject to at least four customer complaints during the course of his career. According to a BrokerCheck report one customer complaint concerns alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded…
Advisor Mark Robare (Robare), currently employed by Triad Advisors LLC (Triad Advisors) has been subject to at least one customer complaint and one regulatory matter during the course of his career. According to a BrokerCheck report one customer complaint concerns alternative investments such as direct participation products (DPPs) like business…
The securities lawyers of Gana Weinstein LLP are investigating recommendations by brokerage firms for their clients to invest in Moody National REIT II (Moody REIT) – a non-traded real estate investment trust (non-traded REIT). According to secondary market quotes, Moody National REIT II has suffered massive losses and may only…