The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Eric Bachinsky (Bachinsky), currently employed by Raymond James & Associates, Inc. (Raymond James) has been subject to at least five customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Kevin Meadows (Meadows), most recently associated with IBN Financial Services, Inc. (IBN Financial Services) has been subject to at least five customer complaints and two regulatory actions during the course of his career. Meadows has been recently…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Peter Steege (Steege) has at least 21 disclosable events. Such events include one criminal matter, four regulatory disclosures, two employment terminations for cause, and 14 customer complaints alleging that Steege engaged in some form of investment related…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor James Couture (Couture) has converted customer funds among other allegations. According to BrokerCheck records, Schmidt is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm LPL Financial LLC (LPL Financial) out of the firm’s Worcester,…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Advisor Michael Lackwood (Lackwood), currently employed by Spring Delta Asset Management, LLC (Spring Delta) has been subject to at least one customer complaint and one employment termination for cause during the course of his career. According to records…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that advisor John Howard (Howard), currently employed by Raymond James & Associates, Inc. (Raymond James) has been subject to at least three customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Michael Shillin (Shillin) has been accused by numerous clients of engaging in fraudulent investment activities including undisclosed outside business activities (OBAs) and private securities transactions. According to records kept by FINRA Shillin was employed by Alliance Global…
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…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Financial Advisor Eladio Santiago (Santiago), currently employed by Cambridge Investment Research, Inc. (Cambridge), has been subject to at least three 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 Dwight Dykstra (Dykstra) has been accused by The Financial Industry Regulatory Authority (FINRA) of engaging in undisclosed outside business activities (OBAs) and private securities transactions. According to records kept by FINRA Dykstra was employed by Vision Brokerage…