Securities Lawyers Blog
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Richard Cardinale (Cardinale) 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 Cardinale was employed by PHX Financial, INC. at the time of the activity. If you have been a victim of Cardinale’s alleged misconduct our firm may be able to assist you in recovering funds.
FINRA BrokerCheck shows a pending customer complaint on July 01, 2024.
Claimant alleges he was a victim of fraudulent private investments with counts of unsuitability, negligent supervision, common law fraud, breach of contract, breach of fiduciary duty and failure to warn.