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Articles Posted in FINRA attorney

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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…

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Advisor Marilyn Zehntner Subject to an Investment Complaint

The law offices of Gana Weinstein LLP are investigating broker Marilyn Zehntner (Zehntner), currently associated with Rhodes Securities, Inc. (Rhodes Securities) out of Fort Worth, Texas.  According to a BrokerCheck report, Zehntner has been subject to at least one customer dispute during her career.  According to records kept by The…

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FINRA Suspends Derrick Watts for Providing Misleading Information on Documents

The securities attorneys at Gana Weinstein LLP are investigating claims against Wunderlich Securities, Inc. (Wunderlich Securities) broker Derrick Watts (Watts). According to BrokerCheck records, Watts has been subject to a regulatory matter in which the Financial Industry Regulatory Authority (FINRA) sanctioned Watts for various violations of the securities laws including churning, otherwise…

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Hiring a FINRA Attorney

Are you hiring the a FINRA securities attorney to help you recover investment losses? This article will help you make the right choice when selecting a FINRA attorney by outlining the most important things to look out for. Consider these five questions to ensure you are hiring the best: Is…

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FINRA Sanctions Broker Kevin Murphy Over Selling Away Allegations

The securities fraud lawyers of Gana Weinstein LLP are investigating a regulatory complaint (Disciplinary No. 2015043159501) filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Kevin Murphy (Murphy). FINRA alleged that in or about November 2013, Murphy sold $1.2 million of shares and warrants in a private placement to…

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FINRA Sanctions Broker James Nixon Over Promissory Note Sales

The securities fraud lawyers of Gana Weinstein LLP are investigating a regulatory complaint (Disciplinary No. 1013038289101) filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Nixon (Nixon). FINRA alleged that Nixon failed to provide prior written notice to Bridge Capital Associates, Inc. (Bridge Capital), his then employing brokerage…

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FINRA Sanctions Broker Carlos Benavidez Jr Over Unauthorized Trades in 80 Customer Accounts

The securities fraud lawyers of Gana Weinstein LLP are investigating the regulatory action filed (Disciplinary Action No. 2014043025701) by The Financial Industry Regulatory Authority’s (FINRA) against broker Carlos Benavidez Jr (Benavidez). According to the allegations, between January 2013 and January 2015, Benavidez exercised discretion in 80 customer accounts without obtaining…

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Broker Investigation: Customer Complaints Against Advisor Paul Blum

The securities fraud lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Paul Blum (Blum). According to BrokerCheck records Blum has been the subject of at least eight customer complaints three of which have been filed since 2015. The customer…

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FINRA Sanctions Finance 500 Over Penny Stock Sales Practices

The investment attorneys of Gana Weinstein LLP are investigating regulatory complaints filed by The Financial Industry Regulatory Authority’s (FINRA) against brokerage firm Finance 500, Inc. (Finance 500) and its employees including William Watson, Robert Hicks, Geoffrey Schiffrin, Paul Savage (Disciplinary Proceedings Nos. 2013038091902, 2013036837802). The complaints largely focus on allegations…

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Broker Spotlight: Centaurus Financial Advisor Marcious Dickerson

The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Marcious Dickerson (Dickerson). According to BrokerCheck records Dickerson has been the subject of 3 customer complaints. The customer complaints against Dickerson allege securities law violations that including unsuitable investments,…

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