The investment lawyers of Gana Weinstein LLP are investigating allegations by The Securities and Exchange Commission (SEC) finding that former Morgan Stanley broker Barry Connell (Connell) working out of the Ridgewood, New Jersey office misappropriated about $5 million from clients. After a customer complained of about $2,500,000 in unauthorized fund…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Robert Schultz (Schultz). According to BrokerCheck records, Schultz has been subject to four disclosures including four customer complaints. The customer complaints against Wolfe allege a number of securities law…
The securities fraud lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against current Questar Capital Corporation (Questar) broker Stephen Swarbrick (Swarbrick). According to BrokerCheck records, Swarbrick has spent 23 years in the securities industry and is currently located in Roseville, California…
The securities fraud lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against current FSC Securities Corporation (FSC Securities) broker Brian Presley (Presley). According to BrokerCheck records, Presley has spent 34 years in the securities industry and is currently located in Punta…
The investment lawyers of Gana Weinstein LLP are investigating allegations by investors that Tripoint Global Equities, LLC (Tripoint Global) and its agents Robert Nathan, Mark Elenowitz, and Michael Boswell acted as placement agents to solicit investments tied to a massive $97 million Ponzi scheme involving the false sale of tickets…
Our firm is investigating claims made by regulators and brokerage firms including LPL Financial LLC (LPL Financial) concerning broker Paul Dorion (Dorion). Dorion is currently not associated with any brokerage firm due to his bar by The Financial Industry Regulatory Authority’s (FINRA) in October 2016 for failing to response to…
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Juan Alejos – a/k/a John Alejos (Alejos), formerly associated with brokerage firms Charles Morgan Securities, Inc. (Charles Morgan) and Spartan Capital Securities, LLC (Spartan Capital). According to brokercheck, Alejos failed to respond to FINRA request…
Our firm is investigating claims made by various regulators and brokerage firms including Axiom Capital Management, Inc. (Axiom) and Financial West Group (FWG) concerning broker Sara Eng (Eng a/k/a Sara Aiping Ng). Eng is currently associated with brokerage firm Moloney Securities Co., Inc. (Moloney). The allegations revolve around Eng’s offering…
The securities and investment lawyers of Gana Weinstein LLP are investigating a customer complaint and an employment separation after allegations filed with the Financial Industry Regulatory Authority (FINRA) again broker Louis Frederick Scherschel (Scherschel). According to FINRA’s BrokerCheck records for Scherschel, there is a disclosure on his record for a…
Our firm is investigating claims made by various regulators and brokerage firms including the State of Washington against broker Douglas Donnelly (Donnelly), formerly associated with brokerage firms Wells Fargo Advisors, LLC (Wells Fargo), Northwest Asset Management (Northwest), and Dinosaur Financial Group, L.L.C. (Dinosaur Financial). The allegations revolve around the offering…