The securities lawyers of Gana Weinstein LLP are investigating broker-dealers and advisors who sold Starwood Real Estate Income Trust Inc., otherwise known as SREIT – a non-traded net asset value real estate investment trust (non-traded REIT). Our representations focus on the failure of brokerage firms to conduct adequate due diligence…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Sam Schoner (Schoner), currently associated with J.P. Morgan Securities LLC (JP Morgan), has been subject to at least four customer complaints during his career. The most recent complaints against Schoner alleged that Schoner recommended unsuitable investments in stocks…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Eric Dupre (Dupre) has been accused by investors of engaging in fraudulent misappropriation of their funds. Higgins was terminated by his employer for engaging in undisclosed investment activities including undisclosed outside business activities (OBAs). According to records…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Chun Elmejjad (Elmejjad) has been accused by an investor and barred by a regulator for engaging in undisclosed investment activities including undisclosed outside business activities (OBAs). According to records kept by The Financial Industry Regulatory Authority (FINRA),…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Barry Schwartz (Schwartz), currently associated with UBS Financial Services Inc. (UBS), has been subject to at least two customer complaints and one regulatory action during his career. The most recent complaint against Schwartz alleged that Schwartz recommended…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Todd Lesk (Lesk) has been accused by multiple investors of engaging in fraudulent securities sales. Lesk was barred by a regulator for engaging in undisclosed investment activities including undisclosed outside business activities (OBAs). According to records kept…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Jeffrey Higgins (Higgins) has been accused by multiple investors of engaging in fraudulent misappropriation of their funds. Higgins was barred by a regulator for engaging in undisclosed investment activities including undisclosed outside business activities (OBAs). According to…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Shane DeSherlia (DeSherlia) has at least three disclosable events. These events include three customer complaints alleging that DeSherlia engaged in some form of investment related misconduct in the handling of the client’s accounts. DeSherlia is currently employed…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Leslie Jackson (Jackson) has been accused by a regulator of engaging in undisclosed investment activities including undisclosed outside business activities (OBAs) and the sale of promissory notes. According to records kept by The Financial Industry Regulatory Authority…
The attorneys at Gana Weinstein LLP have filed a complaint on behalf of investors relating to financial advisor Jason Mitsuda’s (Mitsuda) sales of structured products. At the time Mitsuda was registered with Equitable Advisors, LLC (Equitable) and has since been registered with Ameriprise Financial Services, LLC, Cetera Investment Services, LLC,…