The Securities and Exchange Commission (SEC) brought an enforcement action against broker Gary Arford (Arford) resulting in a monetary sanctions of $4,226,684. In addition, according to the BrokerCheck records kept by FINRA, Arford has been the subject of at least 10 customer complaints. The customer complaints against Arford allege unsuitable…
Securities Lawyers Blog
Broker Investigation: Customer Complaints Against Frank Marinelli
The securities lawyers of Gana Weinstein LLP are investigating customer complaints against Frank Marinelli (Marinelli). According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Marinelli has been the subject of at least 3 customer complaints, 1 employment termination, 2 judgment or liens, and 1 criminal matter. The…
FINRA Sanctions Joseph Daigneault Over False Account Statements
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2013038133001) against broker Joseph Daigneault (Daigneault) resulting in a monetary sanction and a suspension. In addition, according to the BrokerCheck records kept by FINRA, Daigneault has been the subject of at least 1 customer complaint. The customer complaint…
FINRA Sanctions Daniel Barthole Over Attempt to Privately Settle a Customer Complaint
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2012034393401) against broker Daniel Barthole (Barthole) resulting in a monetary sanction and a suspension. In addition, according to the BrokerCheck records kept by FINRA, Barthole has been the subject of at least 2 customer complaints. The customer complaints…
FINRA Bars Broker Daniel Kasbar In Connection With Undisclosed Outside Business Activities
The securities lawyers of Gana Weinstein LLP are investigating Daniel Kasbar (Kasbar) bar from the securities industry. The Financial Industry Regulatory Authority (FINRA) recently brought an enforcement action (FINRA No. 2015045744901) against Kasbar alleging that between 2010 and 2015, Kasbar engaged in an outside business activity beyond the scope of…
FINRA Bars Broker Clifford Morgan In Connection With the Sale of Over Promissory Note Sales
The securities lawyers of Gana Weinstein LLP are investigating Clifford Morgan (Morgan) bar from the securities industry. The Financial Industry Regulatory Authority (FINRA) recently brought an enforcement action (FINRA No. 2011025610501) against Morgan alleging that between November 2011 and December 2014, while he was associated with brokerage firm Uhlmann Price,…
FINRA Sanctions David Khezri Over Unauthorized Trading
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2015044589701) against broker David Khezri (Khezri) resulting in a monetary sanction and suspension. In addition, according to the BrokerCheck records kept by FINRA, Khezri has been the subject of at least 1 customer complaint. The customer complaints against…
Oil and Gas Bankruptcy List Expands Along with Investor Losses
The investment attorneys at Gana Weinstein LLP continue to report on investor losses in oil and gas related investments. Our firm is investigating potential securities claims against brokerage firms over sales practices related to the recommendations of oil & gas and commodities products such as exchange traded notes (ETNs), structured…
Broker Spotlight: Wells Fargo Advisor Evan Wuhl
The securities and investment attorneys of Gana Weinstein LLP are interested in speaking with clients of Evan Wuhl (Wuhl). According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Wuhl has been the subject of at least 15 customer complaints and 1 employment termination. The customer complaints against…
FINRA Bars Broker Jeffrey Snyder Over Failure to Respond to Regulator Requests
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action (FINRA No. 2015045289901) against broker Jeffrey Snyder (Snyder) resulting a permanent bar from the securities industry. In addition, according to the BrokerCheck records kept by FINRA, Snyder has been the subject of at least 6 customer complaints, and 1 regulatory…