The law offices of Gana Weinstein LLP are investigating claims against advisor Lloyd Johnston (Johnston). According to records kept by The Financial Industry Regulatory Authority (FINRA), Johnston, formerly registered with Capital Financial Services, Inc. (Capital Financial) out of Spokane, Washington was barred from the financial industry. According to a BrokerCheck…
The securities attorneys at Gana Weinstein LLP are investigating advisor Michael Arteca (Arteca), currently registered with Pruco Securities, LLC. (Pruco) out of Uniondale, New York. According to a BrokerCheck report, Arteca has been subject to at least five customer complaints during his career. According to records kept by The Financial…
The securities attorneys at Gana Weinstein LLP are currently investigating advisor Mark Upchurch (Upchurch), currently associated with Centaurus Financial, Inc. (Centaurus Financial) out of Houston, Texas. According to a BrokerCheck report, Upchurch has been subject to at least three customer disputes, one regulatory action, and one termination for cause during…
The attorneys at Gana Weinstein LLP are currently investigating advisor Bud McLaughlin Jr. (McLaughlin), currently employed by Century Securities Associates, Inc. (Century Securities) out of Chaska, Minnesota. According to a BrokerCheck report, McLaughlin has been subject to at least one customer dispute, one regulatory action, and one bankruptcy disclosure during…
The attorneys at Gana Weinstein LLP are reporting on advisor Thomas Gerard Murray (Murray) currently employed by FSC Securities Corporation (FSC Securities) out of Hartsdale, New York. According to a BrokerCheck report, Murray has been subject to at least one customer dispute and one bankruptcy cause during the course of…
The attorneys at Gana Weinstein LLP are currently investigating reports that advisor Nicolas Barrios (Barrios) engaged in undisclosed outside business activities (OBAs) that were not approved by his brokerage firm resulting in potential fraudulent investments. Barrios, formerly registered with UBS Financial Services Inc. (UBS) out of Winter Haven, Florida was…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Craig Siegel (Siegel) has been subject to at least four customer complaints and one regulatory action during his career. Siegel is formerly employed by Portfolio Advisors Alliance, LLC (Portfolio Advisors). The majority of the customer complaints against…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Alberto Sanchez (Sanchez) engaged in undisclosed outside business activities (OBAs) that were not approved by his brokerage firm. Sanchez, formerly registered with SagePoint Financial, Inc. (SagePoint Financial) and MML Investors Services, LLC (MML Investors) out of Fort…
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…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Benjamin Bourgeois (Bourgeois) has taken funds from clients and engaged in certain business activities not approved by his brokerage firm. Bourgeois, formerly registered with Commonwealth Financial Network (Commonwealth Financial) out of Metairie, Louisiana has been barred by…