The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker David Sosa (Sosa), currently employed by Cetera Investment Services LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Sosa’s…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Martin (Martin), currently associated with Integrity Alliance, Llc., has at least one disclosable event. These events include one customer complaint, alleging that Martin recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Peterson (Peterson), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Peterson recommended unsuitable investments in different investment products including debt securities among…
Currently financial advisor Michael Tannery (Tannery), currently employed by brokerage firm Independent Financial Group, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Gibbons (Gibbons), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gibbons recommended unsuitable investments in different investment products including debt…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Wenjinn Chang (Chang), currently associated with Independent Financial Group, LLC (IFG), has been subject to at least two customer complaints during his career. Those complaints against Chang allege that Chang recommended unsuitable investments in various investments among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Kirk Badii (Badii) has at least eight disclosable events. These events include six customer complaints alleging that Badii engaged in some form of investment related misconduct in the handling of the client’s accounts. In addition, Badii has…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Michael Christopher Martino (Martino), currently employed by Four Points Capital Partners LLC (Four Points Capital Partners) has been subject to at least six customer complaints during the course of his career. According to records kept by The…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Travis Justin Lippman, formerly employed by Primary Capital, LLC and now with Spartan Capital Securities, has been subject to at least four customer complaints during his career. According to records kept by the Financial Industry Regulatory Authority (FINRA),…
The attorneys at Gana Weinstein LLP have reviewed BrokerCheck records reports that broker Erik Drewes (Drewes), currently employed by American Capital Partners LLC, has been subject to at least three customer complaints during his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), Drewes’s customer complaints allege…
