The securities attorneys at Gana Weinstein LLP are currently investigating Aeon Capital Inc (Aeon Capital) broker Wayne Miller (Miller). According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Miller has been subject to three customer disputes, a regulatory action, and a financial action. In December 2017, FINRA…
The investment fraud attorneys at Gana Weinstein LLP are currently investigating Stoever, Glass & Company Inc. (Stoever, Glass & Company) broker Adam Goodman (Goodman). According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Goodman has been subject to three customer disputes, one of which is still pending.…
The securities attorneys at Gana Weinstein LLP have been investigating Wells Fargo Clearing Services, LLC (Wells Fargo) broker Bryan Musso (Musso). According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Musso has been subject to six customer disputes, one of which is still pending. The majority of…
The securities attorneys at Gana Weinstein LLP are currently investigating Woodbury Financial Services, Inc. (Woodbury Financial) broker Richard Ginsberg (Ginsberg). According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Ginsberg has been subject to two pending customer disputes concerning unsuitable alternative investments. Most recently, in December 2017,…
The investment fraud attorneys at Gana Weinstein LLP are currently investigating Wells Fargo Clearing Services, LLC (Wells Fargo) broker Peter Malis (Malis). According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA). According to BrokerCheck Records, Malis has been subject to five customer disputes, the majority concerning unsuitable…
According to BrokerCheck records financial advisor Joseph Yanofsky (Yanofsky), currently associated with First Financial Equity Corporation (First Financial), has been subject to eight customer complaints, one regulatory action, and one employment separation for cause. According to records kept by The Financial Industry Regulatory Authority (FINRA) Yanofsky has been accused by…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Daniel Flores (Flores), formerly associated with Woodbury Financial Services, Inc. (Woodbury Financial) in Appleton, Wisconsin was terminated by his firm concerning allegations that Flores engaged in an unapproved financial transaction with a client. Thereafter in May 2018…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Stacy Cheney-Jamison (Cheney-Jamison), a/k/a Stacy Cheney, Stacy Edwards, Stacy Kuczynski, and Stacy Sang was formerly associated with CUNA Brokerage Services, Inc. (CUNA) in Boca Rotan, Florida was barred by FINRA concerning allegations that Cheney-Jamison sold investments away…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Thomas Sova (Sova), formerly associated with Hornor, Townsend & Kent, Inc. (Hornor Townsend) in Baton Rouge, Louisiana was terminated by his firm concerning allegations that Sova violated firm policies and procedures regarding disclosure of outside business activities…
The law offices of Gana Weinstein LLP continue to investigate the Woodbridge Group of Companies and the Woodbridge Mortgage Funds (Woodbridge). The Securities and Exchange Commission (SEC) has alleged that the Woodbridge operated a billion-dollar Ponzi scheme ensnaring about 8,400 investors. Woodbridge solicited hundreds of disreputable insurance agents and investment…