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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Joey Miller (Miller) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Miller was employed by Dai Securities, LLC at the time of the activity.  If you have been a victim of Miller’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $329,000.00 on March 11, 2024.

Client alleges unsuitable recommendations 2018 and 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Schmidt (Schmidt), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schmidt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on March 12, 2024.

Client invested in a 12% interest bearing note paying 1% per month in June 2021. In January 2023, client renewed the note. In December 2023, CUMF filed for bankruptcy and defaulted on payment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Norton (Norton), currently associated with Mcdonald Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $99,000.00 on March 12, 2024.

Claimant alleges that RR recommended an unsuitable investment in an offering of corporate bonds in 2020 and that reasonable due diligence was not conducted prior to making the offering. Claimant further alleges RR did not disclose, and did not accurately disclose, all material facts in connection with Claimant’s investment in the offering, and that certain guarantees of performance were made.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincenzo Azzinnari (Azzinnari), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Azzinnari recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,042.57 on March 11, 2024.

The Customer alleged he was misled when he purchased a variable annuity in February 2022 and has requested a refund of the surrender charges incurred.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sidhant Nanda (Nanda), previously associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nanda recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on March 11, 2024.

Customer alleges advisor made poor recommendation to client that resulted in negative financial impact .

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leo Chien (Chien), previously associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chien recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,054,759.37 on March 12, 2024.

Plaintiff alleges the proceeds from their investment were not received in their account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandro Olivos (Olivos), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olivos recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on March 12, 2024.

Customer alleges Mr. Olivos misrepresented the risks associated with the investment in NorthStar Financial Services and that the investment recommendations were unsuitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Dalton (Dalton), currently associated with Parkland Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dalton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 11, 2024.

Customers allege that they did not authorize their financial professional to liquidate their accounts in September 2023 prior to their transfer by ACAT to another broker. When the accounts were liquidated, the customers were charged commissions and incurred substantial capital gain taxes. The customers demand reimbursement of commissions paid, capital gain taxes incurred, and professional fees expended.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allan Proctor (Proctor), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Proctor recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $35,000.00 on March 12, 2024.

Customer took a loan from policy , which then lapsed. Customers spouse is now filing suit on his behalf for professional negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Horowitz (Horowitz), currently associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Horowitz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $2,039,031.29 on March 11, 2024.

Customer complained that financial advisor did not disclose risks of investments and that recommendations were unsuitable. (10/2021)

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