The securities fraud attorneys of Gana Weinstein LLP are investigating fraud charges by The Securities and Exchange Commission (SEC) against American Growth Funding II, LLC, Portfolio Advisors Alliance, Inc., Ralph C. Johnson (Johnson), Howard J. Allen III (Allen) and Kerri L. Wasserman (Wasserman) accusing the defendants of repeatedly lying to…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Stanley Keyes (Keyes). According to BrokerCheck records Keyes is subject to 5 customer complaints, 1 regulatory action, and 2 employment separations. The customer complaints against Keyes allege securities law…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints and a FINRA action against broker William Watson (Watson). The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2013038091901) against Watson. In addition, there are at least five customer complaints against Watson and four judgements or…
The securities lawyers of Gana Weinstein LLP are investigating the termination by The Financial Industry Regulatory Authority (FINRA) of broker Ricardo Fancois (Fancois). According to BrokerCheck records Fancois is subject to one regulatory action, one investigation, and two judgement or lien. FINRA terminated Fancois after the broker failed to respond…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Starks (Starks). According to BrokerCheck records Starks is subject to one regulatory action, two investigations, and one criminal matter. FINRA terminated Starks after the broker failed to respond…
The securities lawyers of Gana Weinstein LLP are investigating investors that were recommended to invest in Voyager Financial Group, LLC, (VFG), a Delaware limited liability company. VFG maintained a website which claimed that Voyager “is a national distributor, broker, and consulting firm for a diverse array of products, services, and…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints against broker Howard Slater (Slater). In addition, The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2015046156301) against Slater. There are at least 18 customer complaints against Slater and 2 regulatory actions. The customer complaints against…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints against Frank Marinelli (Marinelli). According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Marinelli has been the subject of at least 3 customer complaints, 1 employment termination, 2 judgment or liens, and 1 criminal matter. The…
The Securities and Exchange Commission issued a press release announcing securities fraud charges against a Florida based purported “investment adviser” Arthur F. Jacob (Jacob) and his firm, Innovative Business Solutions LLC (IBS), for allegedly deceiving clients over a period of at least five years. According to the SEC, the unregistered…
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Ralph Savoie (Savoie) (FINRA No. 2015046239401) resulting in a bar from the securities industry alleging that Savoie failed to provide FINRA staff with information and documents requested. The failure to provide those documents and information to FINRA resulted…