Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Raymond Harrison (Harrison) currently associated with Cambridge Investment Research, Inc. (Cambridge) alleging unsuitable investments , lack of due diligence, lack of supervision, and omissions of material information among other claims. According to brokercheck records…
Our firm’s investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Joseph Zastrow (Zastrow) currently associated with Thrivent Investment Management Inc. (Thrivent) alleging unsuitable recommendations to invest in variable products such as variable annuities, equity indexed annuities, and variable life insurance. According to brokercheck…
Our firm is investigating potential securities claims against brokerage firms for sales practice violations related to the recommendations of oil & gas and commodities products such as exchange traded notes (ETNs), structured notes, private placements, master limited partnerships (MLPs), leveraged ETFs, mutual funds, and individual stocks. One investment that advisors…
Our firm has previously reported on the growing trend of brokerage firms recommending non-purpose loans secured by their brokerage accounts to clients. See Investors Risk Big Losses with Loans Secured by Securities Collateral Accounts. Recently, the state of Massachusetts charged Morgan Stanley with conducting unethical – high-pressure – sales contests…
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Kenneth Saunders (Saunders) currently associated with National Planning Corporation (NPC) alleging unsuitable investments among other claims. According to brokercheck records Saunders has been subject to six customer complaints. Some of the complaints involve direct…
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against David White (White) currently associated with Centaurus Financial, Inc. (Centaurus) alleging unsuitable investments and breach of fiduciary duty among other claims. According to brokercheck records White has been subject to eleven customer complaints. Many…
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Michael DiGaetano (DiGaetano) currently associated with Independent Financial Group, LLC (Independent Financial) alleging unsuitable investments, misrepresentations, fraud, negligence, breach of contract, and breach of fiduciary duty among other claims. According to brokercheck records DiGaetano…
Our firm’s investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Alan Thomilson (Thomilson) currently associated with Lincoln Financial Securities Corporation (Lincoln Financial) alleging unsuitable recommendations to invest in variable products such as variable annuities, equity indexed annuities, and variable life insurance. According to…
Our firm is investigating claims made by Arkansas Securities Commissioner against brokers Raymond Adcock (Adcock) and Charles Bailey Ferrill, Jr. (Ferrill) concerning their raising of funds for a business plan to operate a hedge fund through two companies – Talon LLC created in February 2011 and Talon LP created in…
Investment attorneys at Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against David Lerner (Lerner) currently associated with Network 1 Financial Securities Inc. (Network 1) alleging unsuitable investments and failure to follow instructions among other claims. According to brokercheck records Lerner has been…