According to BrokerCheck records financial advisor Charles Kenahan (Kenahan), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) has been subject to four customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of a Kenahan’s customer complaints allege that Kenahan made unsuitable…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor John Krohn (Krohn), formerly associated with Principal Securities, Inc. (Principal Securities) in West Des Moines, Iowa was suspended and sanctioned concerning allegations that Krohn engaged in private securities transactions. FINRA alleged that between April 2014 and January…
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…
The securities attorneys at Gana Weinstein LLP are currently investigating Cetera Advisor Networks LLC (Cetera Advisor) broker Jaret Mutter (Mutter). According to BrokerCheck Records, Mutter is currently subject to a pending regulatory matter in which the Virginia State Corporation Commission (VSCC) has sanctioned Mutter for the violation of various securities…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former Vanderbilt Securities, LLC (Vanderbilt Securities) broker Mark Kaplan (Kaplan) has been subject to eight disclosed customer complaints, one employment termination for cause, and one regulatory action resulting in an industry bar. Many of the customer complaints against…
The securities attorneys at Gana Weinstein LLP are currently investigating First Standard Financial Company LLC (First Standard Financial) broker Rocco Roveccio (Roveccio). According to BrokerCheck Records, Roveccio has been subject to five customer complaints, two of which are still pending. Roveccio has also been subject to a pending regulatory matter,…
The investment fraud attorneys at Gana Weinstein LLP are currently investigating previously registered broker Mason Gann (Gann). According to BrokerCheck Records, Gann has been subject to a regulatory matter in which the Financial Industry Regulatory Authority (FINRA) sanctioned Gann for violations of the securities laws concerning unauthorized trading. In addition,…
The securities attorneys at Gana Weinstein LLP are currently investigating previously registered broker David Manor (Manor). According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Manor has been subject to two customer disputes concerning unsuitable investment recommendations and false representations of investments. One of these disputes is…
Investment attorneys with our offices are currently investigating previously registered broker Matthew Singer (Singer). According to BrokerCheck Records, in March 2018, Singer was barred from the financial industry for failing to appear at an on-the-record testimony concerning allegations that he was recommending unsuitable investments to customers while employed at Morgan Stanley.…
The securities attorneys at Gana Weinstein LLP are currently investigating Wells Fargo Clearing Services, LLC (Wells Fargo) broker Michael Morrissett (Morrissett). According to BrokerCheck Records kept by the Financial Industry Regulative Authority, Morrissett has been subject to 4 disputes, one of which is still pending. The majority of these concern…