The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Joseph Gebron (Gebron) currently employed by SW Financial has been subject to at least seven customer complaints, one employment termination for cause, and one criminal matter during the course of his career. According to records kept by…
Advisor Kevin Houser (Houser), currently employed by brokerage firm Ameriprise Financial Services, LLC (Ameriprise) has been subject to at least four customer complaints during the course of his career. According to a BrokerCheck report several of the customer complaints concern alternative investments such as direct participation products (DPPs) like business…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Timothy O’Brien (O’Brien), formerly employed by Feltl & Company has been subject to numerous disclosures including at least six customer complaints, two criminal matters, four judgement or tax liens, and regulatory complaints during the course of his…
The attorneys at Gana Weinstein LLP have been receiving investor complaints concerning advisors recommending what the advisors call hedge or bear market products to the investors causing large investor losses. These complaints often involve large holdings in derivative, leveraged, or inverse investment vehicles that are extraordinarily risky. Further, such investments…
Advisor Gary Ginsberg (Ginsberg), currently employed by brokerage firm Ameriprise Financial Services, LLC (Ameriprise) has been subject to at least four customer complaints and one regulatory action during the course of his career. According to a BrokerCheck report several of the customer complaints concern alternative investments such as direct participation…
Advisor Christopher Ortiz (Ortiz), currently employed by National Securities (National Securities) has been subject to at least two customer complaints during the course of his career. According to a BrokerCheck report the complaints appear to concern unsuitable investments in private placements investments. These allegations may concern investments in GPB Capital…
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)…
Broker William Campbell, currently employed at David Lerner Associates, Inc., (David Lerner) has been subject to at least four customer complaints during the course of his career. All four complaints allege Campbell of making unsuitable trading recommendations. According to a BrokerCheck report, in August 2020, a customer made allegations against…
Investment Adviser, Joseph Teifer, currently employed at Herbert J. Sims & Co. Inc., has been subject to at least two customer complaints during the course of his career. Both complaints have recently surfaced in the past year alleging Teifer making inappropriate investments. According to a BrokerCheck report, in April 2019,…
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…