According to BrokerCheck records financial advisor Anthony Salerno (Salerno), employed by Ameriprise Financial Services, Inc. (Ameriprise), has been subject to three customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA) Salerno has been accused by a customers of unsuitable investment advice concerning various investment products including…
The securities attorneys at Gana Weinstein LLP are investigating claims against LPL Financial broker Stephen Garrett (Garrett). According to BrokerCheck records, Garret has been subject to two customer complaints. Most recently, In February 2014, a customer alleged inappropriate investments and options trading in volatile stocks concentrated in the oil and…
According to BrokerCheck records financial advisor Jeffrey Wilson (Wilson), employed by Wells Fargo Clearing Services, LLC (Wells Fargo), has been subject to four customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA) Wilson has been accused by a customers of unsuitable investment advice concerning various investment…
According to BrokerCheck records financial advisor William Paynter (Paynter), employed by Wells Fargo Clearing Services, LLC (Wells Fargo), has been subject to two customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA) Paynter has been accused by a customers of unsuitable investment advice concerning various investment…
The Securities and Exchange Commission (SEC) filed a civil action charging Matthew Griffin and William Griffin with fraudulently offering two Texas oil and gas partnerships – Payson Petroleum 3 Well 2014. The SEC alleges that between November 2013 and July 2014 the Griffins conducted a fraudulent offering of interests raising…
According to BrokerCheck records financial advisor William Heiden (Heiden), employed by Wedbush Securities Inc. (Wedbush), has been subject to nine customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA) Heiden has been accused by a customers of unsuitable investment advice concerning various investment products including energy…
According to BrokerCheck records financial advisor Michael Keane (Keane), formerly associated with UBS Financial Services Inc. (UBS), has been subject to nine customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA) Keane has been accused by a customers of unsuitable investment advice concerning various investment products…
According to BrokerCheck records financial advisor Christopher Sinkula (Sinkula), currently associated with Janney Montgomery Scott LLC (JMS), has been subject to seven customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA) Sinkula has been accused by a customers of unsuitable investment advice concerning various investment products…
According to multiple news sources, a private equity fund managed by firm EnerVest Ltd. has lost essentially all of its value. The $1.5 billion EnerVest Energy Institutional Fund XII closed in 2010 while the $2 billion EnerVest Energy Institutional Fund XIII closed in 2013 appear to be affected by the…
The law offices of Gana Weinstein LLP continue to report on investor related losses and potential legal remedies due to recommendations to investor in oil and gas and commodities related investments. One particularly hard hit area of the commodities bust have been oil private placements sold by many brokerage firms. …