Advisor David Bibo (Bibo), currently employed by brokerage firm Western International Securities, Inc. (Western International) has been subject to at least four customer complaints, one termination for cause, and two criminal matters during the course of his career. According to a BrokerCheck report several of the customer complaints concern alternative…
Articles Posted in Securities Arbitration
Centaurus Advisor Conrad Corcoran Has Alternative Investment Complaints
Advisor Conrad Corcoran (Corcoran), currently employed by brokerage firm Centaurus Financial, Inc. has been subject to at least four customer complaints during the course of his career. According to a BrokerCheck report the two most recent customer complaints filed in 2020 concern alternative investments such as direct participation products (DPPs)…
Advisor Peter Ianace Barred By Regulator Over Undisclosed Business Dealings – Investor Recovery Options
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Peter Ianace (Ianace) has been accused by The Financial Industry Regulatory Authority (FINRA) of engaging in undisclosed outside business activities (OBAs). According to records kept by FINRA Ianace was employed by Wells Fargo Clearing Services, LLC (Wells…
Broker Audrey Croft Subject to Multiple Tax Liens and Several Customer Complaints
Broker Audrey Croft (Croft), currently employed at Ameriprise Financial Services, LLC (Ameriprise), has been subject to at least three customer complaints and an astonishing ten tax liens during the course of her career. Her customer complaints allege misrepresentation and unsuitable recommendation. Croft’s BrokerCheck report shows a substantial amount of disclosures…
Advisor and Broker Ralph Byer Accused of Making Unsuitable Investment Recommendations
Advisor and broker Ralph Byer (Byer), currently employed by Merrill Lynch, Pierce, Fenner & Smith, Inc. (Merrill Lynch), has a substantial complaint history. Byer has been subject to at least seven customer complaints during the course of his career. According to a BrokerCheck report, the majority of his customer complaints…
Robert Brinckerhoff Has Investor Complaint Over Structured Products
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Robert Brinckerhoff (Brinckerhoff), currently employed by Morgan Stanley has been subject to at least five customer complaints and five regulatory actions during the course of his career. According to records kept by The Financial Industry Regulatory…
Advisor John Boatright Subject to Complaints Over Unsuitable Investments
The securities lawyers of Gana Weinstein LLP are currently investigating customer complaints against broker John Boatright (Boatright), formerly associated with Newbridge Securities Corporation (Newbridge Securities) out of Duluth, Georgia. According to a BrokerCheck report, Boatright has been subject to at least three customer disputes and one large tax lien during…
Broker Mark Upchurch Subject to Several Investment Complaints
The securities attorneys at Gana Weinstein LLP are currently investigating advisor Mark Upchurch (Upchurch), currently associated with Centaurus Financial, Inc. (Centaurus Financial) out of Houston, Texas. According to a BrokerCheck report, Upchurch has been subject to at least three customer disputes, one regulatory action, and one termination for cause during…
Broker Randy Scott Schneider Subject to Various Complaints over Alternative Investments
The securities attorneys at Gana Weinstein LLP are currently investigating Securities America, Inc. (Securities America) broker Randy Schneider (Schneider). According to BrokerCheck Records kept by the Financial Industry Regulative Authority (FINRA), Schneider has been subject to nine customer disputes. The majority of these customer disputes revolve around the unsuitable recommendation…
FINRA Bars Matthew Singer for Alleged Unsuitable Option Investments
Investment attorneys with our offices are currently investigating previously registered broker Matthew Singer (Singer). According to BrokerCheck Records, in March 2018, Singer was barred from the financial industry for failing to appear at an on-the-record testimony concerning allegations that he was recommending unsuitable investments to customers while employed at Morgan Stanley.…