The investment attorneys with Gana Weinstein LLP are investigating investors who were inappropriately recommended leveraged exchange-traded funds (ETFs). ETFs, also called exchange-traded notes (ETNs) when backed by a note rather than underlining assets, are speculative and volatile investment offerings. An ETF is a registered investment trust whose shares represent an…
According to BrokerCheck records financial advisor John Davenport (Davenport), currently employed by Liberty Partners Financial Services, LLC (Liberty Partners) has been subject to three customer complaints, one regulatory action, one employment termination for cause, one bankruptcy, and two judgement or tax liens during his career. According to records kept by…
Advisor Rodney Potratz (Potratz), currently employed by FSC Securities Corporation (FSC Securities), has been subject to at least two customer complaints during the course of his career. According to a BrokerCheck report one of the customer complaints concern alternative investments such as direct participation products (DPPs) like non-traded real estate…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Jeremy Rosen (Rosen), currently employed by Nationwide Planning Associates Inc. (Nationwide Planning) has been subject to at least four customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Morgan Arford (Arford), currently employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least four customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Pratul Victor Agnihotri (Agnihotri) is under investigation for conversion of customer funds among other allegations. According to BrokerCheck records, Agnihotri is currently registered with The Financial Industry Regulatory Authority (FINRA) member firm SW Financial. In addition, Agnihotri…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Joel Davidman (Davidman), currently employed by Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus) has been subject to at least three customer complaints, one employment termination for cause, and two regulatory actions during the course of his…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Jamie Westenbarger (Westenbarger), formerly employed by Securities America, Inc. (Securities America) has been subject to at least five customer complaints, two employment termination for cause, and one regulatory action during the course of his career. According…
According to BrokerCheck records financial advisor Joseph Peggs (Peggs), currently employed by Ameriprise Financial Services, Inc. (Ameriprise) has been subject to one employment termination for cause, one regulatory action, and eight customer disputes during his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Thomas Marino (Marino), formerly employed by R.M. Stark & Co., Inc. (R.M. Stark) has been subject to at least three customer complaints, one regulatory sanction, one financial disclosure, and two terminations for cause. According to records…