The securities attorneys at Gana Weinstein LLP are currently investigating Joseph Stone Capital L.L.C. (Joseph Stone) broker Laurence Pettit (Pettit). According to BrokerCheck records, Pettit has been subject to 10 customer disputes, two civil actions, and one criminal action. The majority of these disputes allege Pettit’s improper use of discretion,…
The investment fraud attorneys at Gana Weinstein LLP are currently investigating previously registered broker Daniel Fischer (Fischer). According to BrokerCheck, in January 2018, the Securities Exchange Commission (SEC) barred Fischer from the financial industry claiming that from December 2012 to May 2015, Fischer recommended an unsuitable investment strategy in penny…
The securities attorneys at Gana Weinstein LLP are investigating claims against Coastal Equities, Inc. (Coastal Equities) broker Andrew Pravlik (Pravlik). According to BrokerCheck records, Pravlik has been subject to a regulatory matter in which the Financial Industry Regulatory Authority (FINRA) sanctioned Pravlik for various violations of the securities laws. In 2009, Pravlik…
The securities attorneys at Gana Weinstein LLP have been investigating H. Beck, Inc. (H Beck) broker Soonhee Cho (Cho). According to BrokerCheck records, Cho has been subject to a customer dispute and a permitted resignation from employment. In November 2017, a customer alleged that from June 2013 to November 2017,…
The investment fraud attorneys at Gana Weinstein LLP are currently investigating Ausdal Financial Partners, Inc. (Ausdal Financial) broker Gerald Repasz (Repasz). According to BrokerCheck records, Repasz has been subject to 5 customer disputes, one of which still pending. The majority of these investments concern the unsuitable recommendation of alternative investments.…
The securities attorneys at Gana Weinstein LLP are investigating claims against Next Financial Group Inc. (Next Financial) broker Stephen Williams (Williams). According to BrokerCheck records, Williams has been subject to six customer complaints, one of which is still pending. The majority of these claims involve the misrepresentation of Real Estate Investment Trusts…
Securities attorneys at Gana Weinstein LLP are investigating UBS Financial Services Inc. (UBS Financial) broker David Watkins (Watkins). According to BrokerCheck records, Watkins has been subject to two customer disputes, one of which is still pending. In addition, Watkins has been subject to two tax liens. The majority of these…
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…
Securities attorneys from Gana Weinstein LLP are investigating Kestra Investment Services, LLC (Kestra Investment Services) broker Mitchell Walk (Walk). According to BrokerCheck records, Walk has been subject to 5 customer complaints, 2 of which are still pending. The majority of these complaints regard unsuitable investment recommendations. In August 2017, a…
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…