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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Sandeman (Sandeman), previously associated with Wedbush Securities Inc., has at least one disclosable event. These events include one customer complaint, alleging that Sandeman 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 $350,000.00 on October 01, 2024.

Losses in the ETF and ETN holdings.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Spitler (Spitler), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Spitler 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 $150,000.00 on October 04, 2024.

Suitability, breach of fiduciary duty/breach of covenants of good faith and fair dealing, unauthorized trading, churning, and failure to supervise.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Brian Davis (Davis) 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 Davis was employed by Principal Securities, Inc. at the time of the activity.  If you have been a victim of Davis’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $75,000.00 on October 07, 2024.

The Plaintiffs allege Breach of Contract, Unjust Enrichment, Actual and Constructive Fraud, and ConstructiveTrust when the defendants breached the terms of the promissory notes by failing and/or refusing to pay thePlaintiffs the loan proceeds when due.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wendy Turk (Turk), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Turk 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 $18,841.17 on October 06, 2024.

Phishing attack compromised adviser’s email and enabled a fraudster to impersonate advisor and persuade client to direct funds to the fraudster’s account instead of to the adviser.

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

FINRA BrokerCheck shows a pending customer complaint on October 04, 2024.

Customer alleges the riders associated with the contract, specifically the death benefit rider, were misrepresented to him and that he was not made aware of the excessive fees associated with the investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Menashe (Menashe), previously associated with Allied Millennial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Menashe 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 $150,000.00 on October 04, 2024.

SUITABILITY, BREACH OF FIDUCIARY DUTY/BREACH OF COVENANTS OF GOOD FAITH AND FAIR DEALING, UNAUTHORIZED TRADING, CHURNING, AND FAILURE TO SUPERVISE.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Ryan Davis (Davis) 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 Davis was employed by Principal Securities, Inc. at the time of the activity.  If you have been a victim of Davis’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $75,000.00 on October 07, 2024.

The Plaintiffs allege Breach of Contract, Unjust Enrichment, Actual and Constructive Fraud, and Constructive Trust when the defendants breached the terms of the promissory notes by failing  and/or refusing to pay the Plaintiffs the loan proceeds when due.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wendy Holmes (Holmes), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Holmes 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 October 04, 2024.

Time frame: 2016-2019 Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dale Timmermann (Timmermann), currently associated with Moloney Securities Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Timmermann 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 $275,000.00 on October 04, 2024.

Suitability/negligence. 2014-2018

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Adelglass (Adelglass), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Adelglass 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 $330,000.00 on October 07, 2024.

Customers allege that investments made were unsuitable for the customers’ investment objectives and risk tolerance. Time frame: 2021-2024.

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