According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Ariel Rivero (Rivero) has at least two disclosable events. These events include two customer complaints alleging that Rivero engaged in some form of investment related misconduct in the handling of the client’s accounts. Rivero is currently employed…
Advisor Frederick Atiyeh (Atiyeh), currently employed by brokerage firm Crown Capital Securities, L.P. (Crown Capital) has been subject to at least four 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…
Advisor Tony Barouti (Barouti), currently employed by brokerage firm Emerson Equity LLC (Emerson Equity) has been subject to at least 15 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 estate…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Mark Kemp (Kemp) has at least 14 disclosable events. These events include 11 customer complaints alleging that Rivero engaged in some form of investment related misconduct in the handling of the client’s accounts. In addition, Kemp has…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Richard Foerster Reynolds (Reynolds), currently employed by SW Financial has been subject to at least 13 customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), Reynolds’ customer…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Frank Louis Avallone (Avallone), currently employed by Ceros Financial Services, Inc (Ceros) and formerly registered with National Securities Corporation (NSC) has been subject to at least four customer complaints during the course of his career. According…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Travis Justin Lippman, formerly employed by Primary Capital, LLC and now with Spartan Capital Securities, has been subject to at least four customer complaints during his career. According to records kept by the Financial Industry Regulatory Authority (FINRA),…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Thomas Bradley Kintz (Kintz), currently employed by T3 Trading Group, LLC (T3 Trading) and formerly with Benjamin F. Edwards & Company, Inc. (Benjamin F. Edwards) has been subject to at least one customer complaint during the course…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker William Nicholas Athas (Athas), currently employed by SW Financial has been subject to at least nine customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), Athas’s customer…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Robert Allan Mann (Mann), currently employed by B. Riley Wealth Management after the firm acquired National Securities Corporation (NSC) has been subject to at least three customer complaints during the course of his career. According to records…