According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Kevin Dziubela (Dziubela), currently employed by National Securities Corporation (National Securities) has been subject to at least three customer complaints during the course of his career. Dziubela’s customer complaints alleges that Dziubela recommended unsuitable investments in various…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Bruce Ciallella (Ciallella), currently employed by Cabot Lodge Securities LLC (Cabot Lodge) has been subject to at least seven customer complaints during the course of his career. Ciallella’s customer complaints alleges that Ciallella recommended unsuitable investments in…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Joseph Hain (Hain), currently employed by Noble Capital Markets, Inc. has been subject to at least two customer complaints during the course of his career. Hain’s customer complaints alleges that Hain misrepresented private placement investments among other…
Advisor Kevin Rainwater (Rainwater), currently employed by Arkadios Capital (Arkadios) and ACG Wealth Inc. (ACG Wealth) has been subject to at least four customer complaints and five tax liens or judgments during the course of his career. According to a BrokerCheck report these customer complaints appears to concern unsuitable investments…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Thomas Duggan (Duggan), currently employed by Aegis Capital Corp. (Aegis Capital) 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 attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Brian Wudemann (Wudemann), currently employed by RBC Capital Markets, LLC (RBC Capital) has been subject to at least seven 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 advisory firm Yellowstone Partners, LLP, of Idaho Falls, and its two principals, David Hansen (Hansen) and Cameron High (High) fraudulently overbilled clients and charged fees for work not performed. According to records kept by The Financial Industry Regulatory…
Advisor Jingbo Pan (Pan), currently employed by Vestech Securities, Inc. (Vestech Securities) and formerly employed by Coastal Equities, Inc. (Coastal Equities) has been subject to at least three customer complaints and one employment termination for cause during the course of his career. According to a BrokerCheck report the customer complaints…
The law offices of Gana Weinstein LLP continue have represented over 100 investors defrauded in GPB Capital relating investments. For nearly two years our firm has been filing complaints against the brokerage firms that wrongfully sold these products alleging that GPB Capital has all the tell-tale signs of being a…
The law offices of Gana LLP recently filed a complaint before The Financial Industry Regulatory Authority (FINRA) on behalf of a investor against brokerage firm David Lerner Associates, Inc. (David Lerner) involving the firm’s financial advisor, Lawrence Merl (Merl) and his recommendation to invest virtually all of the widow Claimant’s…