According to BrokerCheck records financial advisor Clarence McGill (McGill), formerly registered with GWN Securities Inc. (GWN Securities) has been been sanctioned and barred by The Financial Industry Regulatory Authority (FINRA). According to FINRA, McGill consented to the sanction and to the entry of findings because he refused to produce information…
Advisor Andrew Scheirer (Scheirer), currently employed by Kovack Securities, Inc. (Kovack Securities) has been subject to at least four customer complaints. According to a BrokerCheck report many 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 Eric Stuckey (Stuckey), currently employed by Ameriprise Financial Services, Inc. (Ameriprise) has been subject to five customer complaints and two liens. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of a Stuckey’s customer complaints allege that Stuckey made unsuitable recommendations…
Money Concepts Capital Corp (Money Concepts) advisor Ray Reese (Reese) has been subject to at least three customer complaints. According to a BrokerCheck report many of the customer complaints concern variable annuities or alternative investments and direct participation products (DPPs) such as non-traded real estate investment trusts (REITs), oil &…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Mitchell Kurtz (Kurtz), formerly associated with Henley & Company LLC (Henley & Company) in Roslyn Heights, New York was terminated by the firm. In July 2017 Kurtz was discharged after the firm claimed that based discussions…
The securities attorneys at Gana Weinstein LLP are currently investigating previously registered broker Mariondy Fernandez (Fernandez). According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Fernandez has been subject to 19 customer disputes, 10 of which are still pending. The majority of these disputes concern violations of…
The investment fraud attorneys at Gana Weinstien LLP are currently investigating previously registered broker Donnell Bowen (Bowen). According to BrokerCheck Records held by the Financial Industry Regulative Authority (FINRA), Bowen has been subject to 13 customer disputes, one financial action, one regulatory action, termination from employment, and a civil lien.…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Polyakov (Polyakov) has been subject to three customer complaints and eight financial disclosures. Polyakov is currently employed by Westpark Capital, Inc. (Westpark Capital). Many of the customer complaints against Polyakov concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Roy Failla (Failla) has been subject to three customer complaints. Failla is currently employed by First Standard Financial Company LLC (First Standard Financial). Many of the customer complaints against Failla concern allegations of high frequency trading activity…
The securities attorneys at Gana Weinstein LLP have been investigating Morgan Stanley broker Barry Garapedian (Garapedian). According to BrokerCheck Records, Garapedian has been subject to 14 customer disputes, two of which are still pending. The majority of these disputes concern unsuitable investment recommendations. Most recently, in April 2018, a customer…