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…
Broker, John Marshall, currently employed at Centaurus Financial. Inc., (Centaurus) has been subject to at least two customer complaints during the course of his career. Both complaints allege Marshall of making unsuitable trading recommendations. According to a BrokerCheck report, in September 2019, a customer alleged that from 2004 through 2019…
Advisor Roy Williams (Williams), currently employed by brokerage firm Center Street Securities, Inc. (Center Street Securities) but doing business as Williams Financial Group has been subject to at least seven customer complaints and one regulatory action during the course of his career. According to a BrokerCheck report the most recent…
Joseph Andreoli Jr is a Financial advisor. A graduate of Ramapo College of New Jersey, Mr. Andreoli Jr holds a Bachelor of Science in business. In 1987 he started his professional career at Hym Financial, INC for a year and proceeded further on his path to work for many firms…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Shane Appelbaum (Appelbaum), currently employed by Herbet J. Sims & Co, Inc. (Herbert J. Sims) has been subject to at least two customer complaints and one criminal matter during the course of his career. According to…
The investment attorneys with Gana Weinstein LLP are investigating investors who were inappropriately recommended the Allianz Structured Alpha 1000 and Structured Alpha 1000 Plus Funds. Investors may have potential legal remedies due to unsuitable recommendations by their broker to invest in these speculative and volatile investment offerings. Allianz Global Investors…
Advisor Lee Kramer (Kramer), currently employed by FSC Securities Corporation (FSC Securities), has been subject to at least two customer complaints, seven regulatory actions, and two employment terminations for cause during the course of his career. According to a BrokerCheck report one of the customer complaints concern alternative investments such…
According to BrokerCheck records financial advisor Charles Evan (Evan), formerly employed by MML Investors Services, LLC (MML Investors) has been subject to five customer complaints, one regulatory action, and one employment termination for cause during his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), many of…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Dennis Nakamura (Nakamura), formerly employed by McNally Financial Services Corporation (McNally Financial) has been subject to at least five customer complaints and one regulatory action during the course of his career. According to records kept by…
The securities lawyers of Gana Weinstein LLP represent investors that were sold NorthStar Healthcare Income Inc., (NorthStar Healthcare) – a non-traded real estate investment trust (non-traded REIT). Our representations focuses on the failure of the investor’s brokerage firms to conduct adqueate due diligence on NorthStar Healthcare pior to recommending the…