Investment Adviser, Joseph Teifer, currently employed at Herbert J. Sims & Co. Inc., has been subject to at least two customer complaints during the course of his career. Both complaints have recently surfaced in the past year alleging Teifer making inappropriate investments. According to a BrokerCheck report, in April 2019,…
According to BrokerCheck records financial advisor Robert Salles (Salles), currently employed by Herbert J. Sims & Co, Inc. (Herbert J. Sims) has been subject to at least six customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Salles customer complaints allege that Salles made…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Larry Wolfe (Wolfe). According to BrokerCheck records, Reda has been subject to nine disclosures including eight customer complaints and one employment termination for cause. The customer complaints against Wolfe…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Michael Stern (Stern). According to BrokerCheck records Stern has been subject to at least eight customer complaints. The customer complaints against Stern alleges securities law violations that including unsuitable…
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Delguercio (Delguercio) has been the subject of at least eight customer complaints, two financial matters, and one employment separation. The customer complaints against Delguercio allege a number of securities law violations including that the broker made…
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael Bell (Bell) has been the subject of at least 8 customer complaints, two financial disclosures, two firm terminations, and two regulatory actions. Customers have filed complaints against Bell alleging a litany of securities law violations including…