The law offices of Gana Weinstein LLP are currently investigating claims that advisor Rhett Bedwell (Bedwell) 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 FINRA Bedwell was employed by LPL Financial LLC…
Securities Lawyers Blog
Raymond James Advisor Gregory Collier Has Investor Suitability Complaints
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Gregory Collier Sr. (Collier), currently employed by Raymond James Financial Services, Inc. (Raymond James Financial Services) has been subject to at least two customer complaints during the course of his career. According to records kept by…
Advisor Russell Green Accused of Unsuitable Investments and Churning Client Accounts
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that advisor Russell Green (Green), currently employed by Cabot Lodge Securities LLC (Cabot Lodge) has been subject to at least five customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority…
Andrew Grant Subject to FINRA Regulatory Action Over Discretionary Trading
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Andrew Grant (Grant), currently employed by Laidlaw & Company (UK) Ltd. (Laidlaw & Company) has been subject to at least one regulatory action and a customer complaint during the course of his career. According to records…
Advisor Doron Kochavi Has Unsuitable Investment Complaints
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Doron Kochavi (Kochavi), currently employed by Western International Securities, Inc. (Western International) has been subject to at least six customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority…
Financial Advisor David Bibo Has REIT Investor Complaints
Advisor David Bibo (Bibo), currently employed by brokerage firm Western International Securities, Inc. (Western International) has been subject to at least four customer complaints, one termination for cause, and two criminal matters during the course of his career. According to a BrokerCheck report several of the customer complaints concern alternative…
Financial Advisor Gregory Williams Subject to Nine Investment Complaints
Advisor Gregory Williams (Williams), formerly employed by brokerage firm Forta Financial Group, Inc. (Forta Financial) has been subject to at least nine customer complaints. According to a BrokerCheck report several of the customer complaints concern alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real…
Horizon Private Equity III Ponzi Scheme Victims – Investor Recovery
The attorneys at Gana Weinstein LLP are currently representing investors who have been the victim of the Horizon Private Equity III, LLC (Horizon) scam. Recently, the SEC has alleged that approximately 400 investors in Horizon were defrauded in a Ponzi scheme fashion out of over $110 million. A number of…
Seth Stewart Has Customer Complaints Over Alternative Investments
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Seth Stewart, currently employed by Brookstone Financial and formerly employed by Center Street Securities, Inc. (Center Street), has been subject to at least two customer complaints during his career. According to records kept by the Financial Industry Regulatory…
Former Morgan Stanley Advisor Ken Hutkin Terminated For Undisclosed Activities
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Kenneth Hutkin, currently employed by Wedbush Securities Inc., (Wedbush) has been subject to at least five customer complaints during his career. According to records kept by the Financial Industry Regulatory Authority (FINRA), Hutkin’s customer complaints allege that Hutkin…