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,…
The law offices of Gana LLP recently filed a complaint before The Financial Industry Regulatory Authority (FINRA) on behalf of a investor against brokerage firm David Lerner Associates, Inc. (David Lerner) involving the firm’s financial advisor, Lawrence Merl (Merl) and his recommendation to invest virtually all of the widow Claimant’s…
The law offices of Gana LLP recently filed a complaint before The Financial Industry Regulatory Authority (FINRA) on behalf of a investor against brokerage firm LPL Financial, LLC (LPL) involving the firm’s financial advisor, Kevin McCallum (McCallum) and his use of discretion to invest substantial sums in Medley Capital Corporation…
The law offices of Gana Weinstein LLP represents a group of 23 claimants that have been awarded $3 million by a FINRA arbitration panel after 18 days of hearing and litigation that stretched over three years. At hearing the evidence showed that Spire Securities, LLC (Spire Securities) and the firm’s…
The law offices of Gana Weinstein LLP are pleased to announce that a group of 23 claimants have been awarded $3 million by a FINRA arbitration panel after 18 days of hearing and litigation that stretched over three years. The case involved important investor protections concerning broker private securities transactions…
The securities lawyers of Gana Weinstein LLP recently filed a complaint on behalf of a client alleging that Laidlaw & Company (UK) Ltd. (Laidlaw) recommended the investor purchase a micro cap stock underwritten by the firm in violation of the securities laws. According to newsources and public filings Laidlaw has…
The securities lawyers of Gana Weinstein LLP recently filed a complaint on behalf of a client alleging that Kalos Capital, Inc. (Kalos Capital) and Andrew C. Long (Long) failed to supervise Long’s recommendations and investment activity through his d/b/a business Granite Retirement & Tax (Granite Retirement). The complaint alleges that…
The law offices of Gana Weinstein LLP have filed complaints before The Financial Industry Regulatory Authority (FINRA) on behalf of multiple clients against brokerage firm Comprehensive Asset Management and Servicing, Inc. (CAMAS) concerning Tamara Steele’s (Steele) recommendation to invest in Behavior Recognition Systems (BRS) (n/k/a Giant Gray, Inc.). The Claimants…
The law offices of Gana Weinstein LLP recently filed a complaint before The Financial Industry Regulatory Authority (FINRA) on behalf of a couple against brokerage firm Comprehensive Asset Management and Servicing, Inc. (CAMAS) and Tamara Steele (Steele) concerning Steele’s recommendation to invest substantial sums in Behavior Recognition Systems (BRS) (n/k/a…
The securities fraud attorneys at Gana Weinstein LLP have recently filed a complaint on behalf of a client alleging that Dean Mustaphalli (Mustaphalli) engaged in securities fraud. The claim was brought against brokerage firms Sterne Agee Financial Services, Inc. (Sterne Agee) and Interactive Brokers LLC (Interactive Brokers) alleging that the…