According to BrokerCheck records financial advisor Alan Siegel (Siegel), currently employed by G.A. Repple & Company (GA Repple) has been subject to four customer complaints, one regulatory complaint, and one criminal matter. According to records kept by The Financial Industry Regulatory Authority (FINRA), in July 2018 Siegel was subject to…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Christopher Hibbard (Hibbard), formerly associated with Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Merrill Lynch) in Louisville, Kentucky was terminated for cause by Merrill Lynch in January 2018 after the firm made allegations that Hibbard engaged…
The attorneys at Gana Weinstein LLP are reviewing court documents and complaints related to The Securities and Exchange Commission’s (SEC) charge a Connecticut investment advisory firm Temenos Advisory, Inc. (Temenos) and its principal, George L. Taylor (Taylor) put $19 million of investor money, including elderly investors’ retirement savings and pension…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former Feltl & Company (Feltl) broker Todd Meier (Meier) has been discharged for failure to follow firm policies and procedures with regards to interactions with a client. This discharge occurred in April 2018. The termination occurred shortly after…
Current D.H. Hill Securities, LLLP (D.H. Hill) broker Charles Stevens (Stevens) has been subject to four customer complaints and five tax liens. According to a BrokerCheck report many of the complaints concern alternative investments and direct participation products (DPPs) such as non-traded real estate investment trusts (REITs). The attorneys at…
The securities attorneys at Gana Weinstein LLP are investigating claims against CUNA Brokerage Services, Inc. (CUNA Brokerage) broker Matthew Paolucci (Paolucci). According to BrokerCheck records, Paolucci has been subject to three customer complaints, one of which is still pending. The majority of these complaints concern recommendations of unsuitable investments. Most recently, in…
Gana Weinstein LLP is investigating the LJM Preservation and Growth Fund (Ticker Symbols LJMAZ, LJMCX, LIMIX). The LJM Funds relied extensively on a strategy that is designed to profit from calm markets. The LJM Preservation and Growth Funds collapsed and lost more than 80% of its value as a result…
According to records kept by The Financial Industry Regulatory Authority (FINRA), former Capitol Securities Management (Capitol Securities) employee Teryl Trenchard (Trenchard) in under investigation for fraud. In March 2017 FINRA initiated its investigation into Trenchard for fraud. On the same day Capitol Securities terminated Trenchard for the same reason. Thereafter,…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Alonza Barnett (Barnett), in March 2017, was barred from the industry by FINRA after FINRA requested documents and information and he failed to request termination of his suspension within three months of the date of the Notice…
In early September, we reported that the investment lawyers of Gana Weinstein LLP were investigating allegations by the Securities and Exchange Commission (SEC) finding that Sonya Camarco (Camarco) misappropriated over $2.8 million in investor funds from her clients and customers. In a separate but parallel action, Colorado state authorities have…