The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Jeffrey Rand Miller (Miller), currently employed by American Portfolios Financial Services, Inc. (American Portfolios Financial Services) has been subject to at least three customer complaints during the course of his career. According to records kept by…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Matthew Steven Gaer (Gaer), currently employed by Aegis Capital Corporation (Aegis) has been subject to at least two customer complaints during the course of 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 Daryl Tomobu Serizawa, currently employed by Woodbury Financial Services, Inc., has been subject to at least three customer complaints during his career. According to records kept by the Financial Industry Regulatory Authority (FINRA), Serizawa’s customer complaints allege that…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Scott Reed (Reed) has been accused by clients of engaging in fraudulent investment activities including undisclosed outside business activities (OBAs) and private securities transactions. According to records kept by The Financial Industry Regulatory Authority (FINRA), Reed was…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Daniel Pimental (Pimental), most recently employed by Wells Fargo Advisors Financial Network, LLC (Wells Fargo) has been subject to at least three customer complaints during the course of his career. Mr. Pimental is no longer a…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Viqas Akhtar (Akhtar) has at least three disclosable events. Theses events include three customer complaints alleging that Akhtar engaged in some form of investment related misconduct in the handling of the client’s accounts. Akhtar is currently employed…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Siddharth Reddy (Reddy), recently employed by Paulson Investment Company LLC (Paulson Investment Company) has been subject to at least three customer complaints during the course of his career. According to records kept by The Financial Industry…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Gary Saccaro (Saccaro), currently employed by Paulson Investment Company LLC (Paulson Investment) has been subject to at least 16 customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Johnny Guan (Guan), currently employed by Aegis Capital Corp. (Aegis Capital) has been subject to at least two customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority…
Advisor Megurditch Patatian (Patatian), formerly employed by brokerage firm Western International Securities, Inc. (Western International) has been subject to at least 13 disclosures of which nine are customer complaints, three are employment terminations for cause, and one is a regulatory action. According to a BrokerCheck report several of the customer…