The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Anthony Joslin (Joslin), currently employed by Garden State Securities, Inc. (Garden State Securities) has been subject to at least eight customer complaints, one employment termination for cause, and two regulatory actions during the course of his…
According to BrokerCheck records financial advisor Timothy Atyeo (Atyeo), currently employed by Oppenheimer & Co. Inc. (Oppenheimer), has been subject to at least four customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority (FINRA) Atyeo has been accused by multiple customers…
Our firm represents multiple clients who have collectively lost millions in the sale of fraudulent GPB Capital Holdings (GPB Capital) related investments. Our firm has analyzed the GPB Capital offerings and believe that brokerage firms did not review these offerings in any significant detail. Any serious due diligence would have…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Nicholas Schiano (Schiano), currently employed by Spartan Capital Securities, LLC (Spartan Capital) has been subject to at least two customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory…
According to BrokerCheck records financial advisor Leon Almeida (Almeida), formerly employed by MML Investors Services, LLC (MML Investors) has been subject to four customer disputes and one criminal matter during his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints against Almeida concerns allegations…
Our firm represents multiple clients who have collectively lost millions in the sale of fraudulent GPB Capital Holdings (GPB Capital) related investments. Our firm has analyzed the GPB Capital offerings and believe that brokerage firms did not review these offerings in any significant detail. Any serious due diligence would have…
Advisor Steven Case (Case), currently employed by LPL Financial LLC (LPL Financial) has been subject to at least two customer complaints during the course of his career. According to a BrokerCheck report some of the customer complaints concerns alternative investments such as direct participation products (DPPs) like non-traded real estate investment trusts (REITs), oil…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Timothy Johnson (Johnson) was discharged by his employer after being accused of diverting client funds. According to BrokerCheck records, Johnson is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm MML Investors Services, LLC (MML). …
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Christopher Watkins (Watkins), currently employed by Silver Oak Securities, Incorporated (Silver Oak Securities) has been subject to at least one employment termination for cause and one customer complaint during the course of his career. According to…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Michael Carter (Carter) was discharged by his employer after being accused of misappropriating client funds. According to BrokerCheck records, Carter is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Morgan Stanley. In addition, Carter…