According to BrokerCheck records financial advisor Michael Greenfield (Greenfield), currently employed by Newbridge Securities Corporation (Newbridge Securities) has been subject to at least six customer complaints and one bankruptcy cause during the course of his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), Greenfield’s customer complaints…
Advisor Kurt Jackson (Jackson), currently employed by Commonwealth Financial Network (Commonwealth Financial) has been subject to at least three customer complaints. According to a BrokerCheck report some of the customer complaints concern alternative investments and direct participation products (DPPs) such as non-traded real estate investment trusts (REITs), oil & gas…
According to BrokerCheck records financial advisor Paul Mante (Mante), employed by The GMS Group, LLC (The GMS Group), has been subject to eight customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA) Mante has been accused by a customers of unsuitable investment advice concerning recommendations to…
According to BrokerCheck records financial advisor Xavier Patino (Patino), currently employed by Newbridge Securities Corporation (Newbridge Securities) and formerly with J.P. Morgan Securities LLC (JP Morgan) has been subject to one regulatory action, one one employment termination for cause, and two customer disputes during his career. According to records kept…
The law offices of Gana Weinstein LLP continue to investigate significant investor losses in a risky options trading strategy employed by several large brokerage houses referred to as a Yield Enhancement Strategy (YES) or Collateral Yield Enhancement Strategy (CYES). These firms include UBS Financial Services, Merrill Lynch, Credit Suisse, and…
The attorneys at Gana Weinstein LLP are looking into potential actions to help investors ensnared in the 1st Global Capital LLC (1st Global Capital) investment fraud scheme. According documents filed by The Securities and Exchange Commission’s (SEC) it appears that some of the victims were brought to 1st Global by…
According to BrokerCheck records financial advisor Keith Kordich (Kordich), currently employed by Ameriprise Financial Services, Inc. (Ameriprise) has been subject to at least six customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), Kordich’s customer complaints allege that Kordich recommended…
According to BrokerCheck records financial advisor William Hobby (Hobby), formerly employed by UBS Financial Services Inc. (UBS) has been subject to an astonishing 23 customer complaints and one employment termination for cause during the course of his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), Hobby’s…
The law offices of Gana Weinstein LLP are currently investigating multiple claims that advisor Robert High (High) has engaged in a misappropriation scheme. High, formerly registered with First Financial Equity Corporation (First Financial) and operating out of Scottsdale, Arizona, has been accused by a customer of engaging in securities fraud…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James Anderson (Anderson), formerly associated with Ameritas Investment Corp. (Ameritas), and operating under the d/b/a name Central Financial Group was terminated by Ameritas in February 2019. Anderson was accused by Ameritas, upon conclusion of internal investigation, that…