Articles Tagged with A.g.p.

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hodo Salovic (Salovic), previously associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Salovic 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 $6,000.00 on September 02, 2022.

Client claims former RR overconcentrated his account in GRPN and MRO and has sustained losses of $6,000

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Shillin (Shillin), previously associated with A.g.p. / Alliance Global Partners, has at least 5 disclosable events. These events include 4 customer complaints, one regulatory event, alleging that Shillin 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 $455,923.90 on October 13, 2022.

Six former clients of Shillin allege misrepresentations made by Shillin regarding the purchase of  SpaceX stock that, in fact, they never purchased. Claimants are seeking damages in the form of profits they allegedly would have earned if that purchase had been made by Shillin on their behalf.

Continue Reading

| by

Currently financial advisor Thomas Mazzara (Mazzara), currently employed by brokerage firm A.g.p. / Alliance Global Partners has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on June 10, 2025.

The customer alleges that a recommendation of a non-traded REIT investment was not in keeping with his needs and objectives, and that the features and risks of the investment were not fully explained to him.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Romano (Romano), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Romano 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 $100,000.00 on March 30, 2023.

Unsuitable investments

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Bell (Bell), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Bell 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 $27,000.00 on September 30, 2022.

Unsuitable recommendation, negligence, misrepresentation

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Hartley (Hartley), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Hartley 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 $2,600,000.00 on December 04, 2023.

Alleges Registered Representative took inappropriate risks purchasing unsuitable investments, overtrading options, and deviating from the investment plan.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Follis (Follis), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Follis 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 $2,600,000.00 on December 04, 2023.

Alleges Registered Representative took inappropriate risks purchasing unsuitable investments, overtrading options, and deviating from the investment plan.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on December 07, 2023.

Client was upset about what she felt were unauthorized trades in her account. The client believed that her accounts was self directedbut had signed a trading authorization form when she opened her accounts on April 14, 2023. This document gave her rep the abilityto use discretion. After reviewing the situation the firm decided that based on the apparent confusion as to whether she would be contacted regarding the trading of any legacy positions the firm proposed a settlement to the client which was accepted.

Continue Reading

| by

Currently financial advisor Jeffrey Glazer (Glazer), currently employed by brokerage firm A.g.p. / Alliance Global Partners has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on December 12, 2023.

Client alleges he was invetsed in usnsuaitable private placements and charged excessive commisions.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hemant Kathuria (Kathuria), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Kathuria 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 $200,000.00 on July 01, 2024.

Failure to disclose fees and risks associated with an alternative investment, from Dec 2020 through January 2021

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design