According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Anthony Gallea (Gallea) has at least four disclosable event. The four events are customer complaints alleging that Gallea engaged in some form of investment related misconduct in the handling of the client’s accounts. Gallea is currently employed…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Eduardo Da Cruz (Da Cruz) has at least one disclosable event. This event is a customer complaint alleging that Da Cruz engaged in some form of investment related misconduct in the handling of the client’s accounts. Da…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Pecoraro (Pecoraro), associated with Spartan Capital Securities, LLC (Spartan Capital) has been subject to at least 11 customer complaint, six regulatory actions, and one judgement or liens during his career. Some of the complaints against Pecoraro…
Advisor Heath Goldstein (Goldstein), currently employed by brokerage firm Western International Securities, Inc. (Western International) has been subject to at least 9 disclosures and customer complaints. According to a BrokerCheck report the customer complaints concern alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Thomas S. Martin (Martin), currently employed by Brighton Securities Corp. (Brighton Securities) has been subject to at least two customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Shawn Good (Good) has been accused by clients and regulators of engaging in fraudulent investment activities including undisclosed outside business activities (OBAs) and a ponzi scheme. According to records kept by The Financial Industry Regulatory Authority (FINRA),…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Dean Robert Nowak (Nowak), currently employed by Newbridge Securities Corporation (Newbridge), has been subject to at least three customer complaints in his career. According to records kept by the Financial Industry Regulatory Authority (FINRA), Nowak’s customer complaint alleges…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Douglas Gene Schmitz (Schmitz), currently employed by Classic, LLC (Classic) has been subject to at least three customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), Schmitz’s…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Mark Alexander Reffett (Reffett), currently employed by Arkadios Capital, has been subject to at least one customer complaint his career. According to records kept by the Financial Industry Regulatory Authority (FINRA), Reffett’s customer complaint alleges that Reffett engaged…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Michael Christopher Martino (Martino), currently employed by Four Points Capital Partners LLC (Four Points Capital Partners) has been subject to at least six customer complaints during the course of his career. According to records kept by The…