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Articles Posted in Investment Lawyer

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Broker Investigation: VSR Financial Services Advisor Robert Bragg

The investment lawyers of Gana Weinstein LLP are investigating customer complaints against broker Robert Bragg (Bragg). There are at least 4 customer complaints against Bragg. The customer complaints against Bragg allege a number of securities law violations including that the broker made unsuitable investments, misrepresentations, negligence, fraud, and breach of…

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FINRA Investigates NMS Capital Advisors Broker Sperry Younger

The securities lawyers of Gana Weinstein LLP are investigating The Financial Industry Regulatory Authority’s (FINRA) investigation into broker Sperry Younger (Younger). In addition, there are at least 2 customer complaints against Younger, 6 judgments or liens, one financial matter disclosed. FINRA’s investigation relates to possible violations of NASD Rule 3010…

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Broker Investigation: Customer Complaints Against Jeremy Monte

The securities lawyers of Gana Weinstein LLP are investigating customer complaints against Jeremy Monte (Monte). According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Monte has been the subject of at least 3 customer complaints and 3 judgment or liens. The customer complaints against Monte allege a…

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FINRA Sanctions Joseph Daigneault Over False Account Statements

The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2013038133001) against broker Joseph Daigneault (Daigneault) resulting in a monetary sanction and a suspension. In addition, according to the BrokerCheck records kept by FINRA, Daigneault has been the subject of at least 1 customer complaint. The customer complaint…

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FINRA Sanctions David Khezri Over Unauthorized Trading

The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2015044589701) against broker David Khezri (Khezri) resulting in a monetary sanction and suspension. In addition, according to the BrokerCheck records kept by FINRA, Khezri has been the subject of at least 1 customer complaint. The customer complaints against…

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Broker Spotlight: Wells Fargo Advisor Evan Wuhl

The securities and investment attorneys of Gana Weinstein LLP are interested in speaking with clients of Evan Wuhl (Wuhl). According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Wuhl has been the subject of at least 15 customer complaints and 1 employment termination. The customer complaints against…

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Broker Investigation: SagePoint Financial’s Scott Aabel

The investment attorneys of Gana Weinstein LLP are interested in speaking with clients of Scott Aabel (Aabel). According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Aabel has been the subject of at least 10 customer complaints, one regulatory event, three judgment or liens, and three financial…

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Broker Investigation: Claims Against Broker Glen Delaney

According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Glen Delaney (Delaney) has been the subject of at least 2 customer complaints and 3 judgements or liens. Customers have filed complaints against Delaney alleging securities law violations including unauthorized trades, breach of fiduciary duty, and unsuitable…

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