According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Marrero (Marrero), previously associated with American Portfolios Financial Services, Inc., has at least one disclosable event. These events include one tax lien, alleging that Marrero recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Mcneilly (Mcneilly), previously associated with American Portfolios Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Mcneilly recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kirwan (Kirwan), previously associated with American Portfolios Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Kirwan recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Lawrence (Lawrence), previously associated with American Portfolios Financial Services, Inc., has at least 15 disclosable events. These events include 14 customer complaints, one tax lien, alleging that Lawrence recommended unsuitable investments in different investment products including…
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 financial advisor John Dobbertin (Dobbertin), currently employed by American Portfolios Financial Services, Inc. (American Portfolios) has been subject to at least one customer complaint, one regulatory sanctions, one criminal disclosure, and one termination for cause. According to records…
The law offices of Gana Weinstein LLP continue to investigate the Woodbridge Group of Companies and the Woodbridge Mortgage Funds (Woodbridge). The Securities and Exchange Commission (SEC) has alleged that the Woodbridge operated a billion-dollar Ponzi scheme ensnaring about 8,400 investors. Woodbridge solicited hundreds of disreputable insurance agents and investment…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints against Jeremy Monte (Monte). According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Monte has been the subject of at least 3 customer complaints and 3 judgment or liens. The customer complaints against Monte allege a…
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Ronald Benevento (Benevento) (FINRA No. 20130353695) alleging that between September 2011 through April 2013 Benevento engaged in unsuitable mutual fund switching activity in three customer accounts in violation of the FINRA Rules. In addition, FINRA alleged that during…
