The law offices of Gana Weinstein LLP are currently investigating claims that advisor Tyler Dean Delahunt (“Delahunt”) has been accused by a securities regulator of engaging in unapproved business activities among other allegations. Delahunt was sanctioned by The Financial Industry Regulatory Authority (FINRA) concerning his private securities and undisclosed outside…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Viqas Akhtar (Akhtar) has at least three disclosable events. Theses events include three customer complaints alleging that Akhtar engaged in some form of investment related misconduct in the handling of the client’s accounts. Akhtar is currently employed…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that advisor Russell Green (Green), currently employed by Cabot Lodge Securities LLC (Cabot Lodge) has been subject to at least five customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Andrew Grant (Grant), currently employed by Laidlaw & Company (UK) Ltd. (Laidlaw & Company) has been subject to at least one regulatory action and a customer complaint during the course of his career. According to records…
Broker Audrey Croft (Croft), currently employed at Ameriprise Financial Services, LLC (Ameriprise), has been subject to at least three customer complaints and an astonishing ten tax liens during the course of her career. Her customer complaints allege misrepresentation and unsuitable recommendation. Croft’s BrokerCheck report shows a substantial amount of disclosures…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Felix Chu (Chu) was investigated by a securities regulator for selling promissory notes to clients among other allegations. According to records kept by The Financial Industry Regulatory Authority (FINRA) Chu left his prior employer, NYLife Securities, LLC…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Timothy Johnson (Johnson) was discharged by his employer after being accused of diverting client funds. According to BrokerCheck records, Johnson is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm MML Investors Services, LLC (MML). …
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…
According to BrokerCheck records Ross Sinclaire & Associates, LLC (Ross Sinclaire) has been subject to a regulatory action over, among other things, the firm’s sales practices with respect to several private placement offerings. According to records kept by The Financial Industry Regulatory Authority (FINRA) Ross Sinclaire has been accused by…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Joseph Pratte (Pratte), formerly associated with Signator Investors, Inc. (Signator Investors) in Riverside, California was terminated by his firm concerning allegations he engaged in prohibited outside business activity (OBA) and failed to submit the activity to the…