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Securities Lawyers Blog

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Advisor Kevin Wanner Accused of Selling Fraudulent Securities

The investment fraud lawyers of Gana Weinstein LLP are investigating regulatory complaints and the termination by Questar Capital Corporation (Questar) of broker Kevin Wanner (Wanner). Questar discharged Wanner alleging that The North Dakota Securities Department (NDSD) issued a cease and desist alleging that Wanner sold time certificate of deposit securities…

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Mutual Fund First Trust MLP and Energy (FEI) Investor Recovery Options

The investment attorneys with Gana Weinstein LLP continue to report on investor related losses in oil and gas and commodities related investments. Investors may have potential legal remedies due to unsuitable recommendations by their broker to invest in this speculative and volatile area. Our firm has been tracking a number…

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Mutual Fund Neuberger Berman MLP Income Fund (NML) Investor Recovery Options

The investment attorneys with Gana Weinstein LLP continue to report on investor related losses in oil and gas and commodities related investments. Investors may have potential legal remedies due to unsuitable recommendations by their broker to invest in this speculative and volatile area. Our firm has been tracking a number…

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Customers Bring Complaints Against Thomas Andrews Over Misappropriation of Funds

The securities fraud lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Thomas Andrews (Andrews). In October 2015, LPL Financial LLC (LPL), Andrews’ then employing brokerage firm, discharged Andrews alleging that he was terminated after the firm received allegations that…

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FINRA Investigates Customer Complaints Against Broker Eric Kuchel

The securities fraud lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) and the agency’s complaint against broker Eric Kuchel (Kuchel). According to BrokerCheck records Kuchel has been the subject of at least five customer complaints, one employment termination for cause, and…

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Mutual Fund Clearbridge Energy Fund (CEM) Investor Recovery Options

The investment attorneys with Gana Weinstein LLP continue to report on investor related losses in oil and gas and commodities related investments. Investors may have potential legal remedies due to unsuitable recommendations by their broker to invest in this speculative and volatile area. Our firm has been tracking a number…

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Mutual Fund Kayne Anderson MLP Investor Recovery Options (KYN)

The investment attorneys with Gana Weinstein LLP continue to report on investor related losses in oil and gas and commodities related investments. Investors may have potential legal remedies due to unsuitable recommendations by their broker to invest in this speculative and volatile area. Our firm has been tracking a number…

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Investors File Non-Traded REIT Complaints Against Broker Nancy Daoud

The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Nancy Daoud (Daoud). According to BrokerCheck records Daoud is subject to 6 customer complaints. The customer complaints against Daoud allege securities law violations that including unsuitable investments and misrepresentations…

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Investor Recovery Options for Energy & Exploration Partners Losses

The investment attorneys with Gana Weinstein LLP continue to report on investor related losses in oil and gas and commodities related investments. Investors may have potential legal remedies due to unsuitable recommendations by their broker to invest in this speculative and volatile area. Energy & Exploration Partners of Fort Worth…

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Broker Investigation: Customer Complaints Against Broker Daniel McPherson

The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Daniel McPherson (McPherson). According to BrokerCheck records McPherson is subject to two customer complaints. The customer complaints against McPherson allege securities law violations that including unsuitable investments, misrepresentations, and…

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