According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Barney (Barney), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barney recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cody Coffey (Coffey), previously associated with Allstate Financial Services, LLC, has at least 2 disclosable events. These events include 2 regulatory events, alleging that Coffey recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Dixon (Dixon), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dixon recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Coffey (Coffey), previously associated with Allstate Financial Services, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory, alleging that Coffey recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Colon (Colon), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Colon recommended unsuitable investments in different investment products including debt securities among other…
The investment lawyers of Gana Weinstein LLP are investigating a regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Robert Cross (Cross) (FINRA No. 2014041637201) of Rome, Georgia. Since August 2006, Cross was registered with Allstate Financial Services, LLC, where he resigned on June 28, 2013. On June…
The law offices of Gana Weinstein LLP has filed an arbitration complaint before the Financial Industry Regulatory Authority (FINRA) alleging damages in excess of $3.7 million against Allstate Financial Services, LLC (Allstate) and the estate of Paul J. Godlewski (Godlewski). The complaint alleges improper supervision and selling away related to…
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Paul Godlewski (Godlewski) concerning allegations Godlewski refused cooperate with requests made by FINRA in connection with an investigation into possible outside business activities. Such activities may, under certain circumstances also involve investment transactions referred to as “selling away” in…
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Marylin T. Meyers (Myers) $20,000 and barred her for two years concerning allegations between September 2009, and February 2011, she participated in a series of private securities transactions totaling approximately $1,000,000 without notifying her firm, Allstate Financial Services, LLC (Allstate) or obtaining…
