The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor John Holland (Holland), currently employed by Cetera Advisor Networks LLC (Cetera Advisor) has been subject to at least three customer complaints and two employment termination for cause during the course of his career. According to records…
According to BrokerCheck records financial advisor Joseph Peggs (Peggs), currently employed by Ameriprise Financial Services, Inc. (Ameriprise) has been subject to one employment termination for cause, one regulatory action, and eight customer disputes during his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints…
Advisor Jeffrey Davis (Davis), currently employed by Kovack Securities Inc. (Kovack Securities) has been subject to at least ten customer complaints, one employment termination for cause, and one regulatory action during the course of his career. According to a BrokerCheck report some of the customer complaints concerns alternative investments such…
Our firm represents multiple clients who have been recommended GPB Capital Holdings (GPB Capital) related investments. GPB invests in a variety of businesses but primarily in auto dealerships and waste management businesses. However, over the past year controversy has embroiled GPB Capital in a saga including multiple regulatory investigations and…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Trevor Rahn (Rahn), formerly associated with J.P. Morgan Securities LLC (JP Morgan), has been subject to at least four customer complaints, one employment termination for cause, and one judgement or lien during his career. The majority of…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Dean Kajouras (Kajouras), currently employed by Fordham Financial Management, Inc. (Fordham Financial) has been subject to at least eight customer complaints, one employment termination for cause, one regulatory matter, and six judgement or liens during the…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Bryan Clark (Clark), formerly associated with Madison Avenue Securities, LLC (Madison Securities), was accused of selling securities without informing his brokerage firm. According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Clark has three…
Our firm represents multiple clients who have collectively lost millions in GPB Capital Holdings (GPB Capital) related investments. Recently, class action lawsuits have been filed against GPB Capital with the goal of recovering investor funds. However, it is our law firm’s belief that remedies against the sales agents who peddled…
The law offices of Gana Weinstein LLP are currently investigating claims that advisors Gurpreet Chandhoke (Chandhoke) and Stephen Shea (Shea) are subject to a complaint filed by The Financial Industry Regulatory Authority (FINRA) concerning their actions selling VII Peaks Capital to investors. The two representatives were registered with the same…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Frederick Stow (Stow) was discharged by his employer after being accused of misappropriating client funds. According to BrokerCheck records, Stow is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Raymond James & Associates, Inc.…