The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Kultar Bindra (Bindra), currently employed by Truist Investment Services, Inc. (Truist) has been subject to at least two customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Byron Treat (Treat) has been accused by a securities regulator of failing to supervise recommendations of certain illiquid investments. Treat was sanctioned by The Financial Industry Regulatory Authority (FINRA) concerning whether Treat reasonably supervised the sale of…
Securities arbitration is a method of resolving disputes between investors and their brokers or brokerage firms, which is governed by the Financial Industry Regulatory Authority (FINRA). FINRA is a self-regulatory organization that oversees the securities industry and provides a forum for resolving disputes between investors and their brokers or brokerage…
Advisor Jerry Tuma (Tuma), currently employed by brokerage firm Independent Financial Group, LLC (Independent Financial) has been subject to at least five disclosures and customer complaints. According to a BrokerCheck report the customer complaints concern investment advisory activity and one complaint involves alternative investments such as direct participation products (DPPs)…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) that financial advisor Terry Morris Anderson (Anderson) was terminated by his employer and has been subject to at least six customer complaints during the course of his career. Mr. Anderson was most…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Viqas Akhtar (Akhtar) has at least three disclosable events. Theses events include three customer complaints alleging that Akhtar engaged in some form of investment related misconduct in the handling of the client’s accounts. Akhtar is currently employed…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Doron Kochavi (Kochavi), currently employed by Western International Securities, Inc. (Western International) has been subject to at least six customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority…
Advisor Gregory Williams (Williams), formerly employed by brokerage firm Forta Financial Group, Inc. (Forta Financial) has been subject to at least nine customer complaints. According to a BrokerCheck report several of the customer complaints concern alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Kenneth Hutkin, currently employed by Wedbush Securities Inc., (Wedbush) has been subject to at least five customer complaints during his career. According to records kept by the Financial Industry Regulatory Authority (FINRA), Hutkin’s customer complaints allege that Hutkin…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Financial Advisor Mark Jones (Jones), currently employed by Merrill Lynch, has been subject to at least nine customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), Jones’ customer…