The law offices of Gana Weinstein LLP are currently investigating claims that advisor Lester Burroughs (Burroughs) is converted customer funds among other allegations. According to BrokerCheck records, Burroughs is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Lincoln Investment. In addition, Burroughs disclosed 17 customer complaints. If…
Advisor William Sines (Sines), currently employed by Berthel, Fisher & Company Financial Services, Inc. (Berthel Fisher) has been subject to at least four customer complaints during the course of his career. According to a BrokerCheck report the customer complaints concern alternative investments such as direct participation products (DPPs) like non-traded…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Lance Armstrong (Armstrong) was terminated by his firm and then barred from the securities industry over allegations that he engaged in multiple loans with customers among other allegations. According to BrokerCheck records, Armstrong was formerly registered with…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Vincent Mazza (Mazza), formerly employed by National Securities Corporation (National Securities) has been subject to at least six customer complaints, six tax liens, and one regulatory action during the course of his career. According to records…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Dennis Nakamura (Nakamura), formerly employed by McNally Financial Services Corporation (McNally Financial) has been subject to at least five customer complaints and one regulatory action during the course of his career. According to records kept by…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Gerald Eaton (Eaton) was terminated by his firm and then barred from the securities industry over allegations that he engaged in wrongful taking of customer funds among other allegations. According to BrokerCheck records, Eaton was formerly registered…
Advisor Kenneth Guerra (Guerra), currently employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least two customer complaints, one financial disclosure, and one regulatory violation during the course of his career. According to a BrokerCheck report the customer complaints concern alternative investments such as direct participation…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Heather Weber (Weber), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) has been subject to at least ten customer complaints during the course of her career. According to records kept by The…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor James McKinney (McKinney), formerly employed by Cetera Advisors LLC (Cetera) has been subject to at least three customer complaints, three tax liens, and one regulatory action during the course of his career. According to records kept…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Pratul Victor Agnihotri (Agnihotri) is under investigation for conversion of customer funds among other allegations. According to BrokerCheck records, Agnihotri is currently registered with The Financial Industry Regulatory Authority (FINRA) member firm SW Financial. In addition, Agnihotri…