Advisor Christopher Bice (Bice), currently employed by SagePoint Financial, Inc. (SagePoint Financial) has been subject to at least four customer complaints and one termination for cause during the course of his career. According to a BrokerCheck report some of the customer complaints concern variable annuities and alternative investments such as…
The law offices of Gana Weinstein LLP are following the investigation by the Massachusetts Secretary of the Commonwealth’s office where the Secretary of the Commonwealth opened an investigation into Wells Fargo’s brokerage and advisory sales practices. Specifically, the state announced that the investigation seeks information related to inappropriate referrals of…
Advisor Michael Fassi (Fassi), currently employed by Centaurus Financial, Inc. (Centaurus Financial) has been subject to at least two customer complaints and one bankruptcy during the course of his career. According to a BrokerCheck report some of the customer complaints concern alternative investments such as direct participation products (DPPs) like…
According to BrokerCheck records financial advisor Izhar Shefer (Shefer), formerly employed by Morgan Stanley has been subject to at least ten customer complaints during the course of her career. According to records kept by The Financial Industry Regulatory Authority (FINRA), Shefer’s customer complaints allege that Shefer recommended unsuitable securities recommendations…
The law offices of Gana Weinstein LLP are currently investigating multiple claims that advisor Michael Mackay (Mackay) has engaged in the sale products not approved by his brokerage firm. Mackay, formerly registered with Transamerica Financial Advisors, Inc. (Transamerica) out of Cincinnati, Ohio has been accused by at least one customer…
The law offices of Gana Weinstein LLP are currently investigating multiple claims that advisor Chris Kubiak (Kubiak) has engaged in a misappropriation scheme. Kubiak, formerly registered with Calton & Associates, Inc. (Calton) and American Global Wealth Management, Inc. (American Global Wealth) operating out of McDonough, Georgia and Brookfield, Wisconsin respectively…
The law offices of Gana Weinstein LLP are currently investigating multiple claims that advisor Derrick Trussell (Trussell) has engaged in an investment fraud scheme by selling products not approved by his brokerage firm. Trussell, formerly registered with PFS Investments Inc. (PFS Investments) out of San Antonio, Texas has been accused…
Advisor Ashley Woodard (Woodard), currently employed by NYLife Securities LLC (NYLife Securities) has been subject to at least five customer complaints, one tax lien or judgment, and one bankruptcy. According to a BrokerCheck report some of the customer complaints concern alternative investments and direct participation products (DPPs) such as non-traded…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor James Bylenga (Bylenga) has engaged in a loan scheme with clients. Bylenga, formerly registered with LPL Financial LLC (LPL Financial) and operating out of Portage, Michigan, has been accused by a customer of soliciting funds for a…
According to BrokerCheck records financial advisor Richard Bernstein (Bernstein), currently employed by Wells Fargo Clearing Services, LLC (Wells Fargo) has been subject to at least eight customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), Bernstein’s customer complaints allege that…