The law offices of Gana Weinstein LLP are currently investigating claims that advisor Byron Treat (Treat) has been accused by a securities regulator of failing to supervise recommendations of certain illiquid investments. Treat was sanctioned by The Financial Industry Regulatory Authority (FINRA) concerning whether Treat reasonably supervised the sale of…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that David John Melilli (Melilli), formerly employed by Capstone Financial LLC, has been subject to at least three customer complaints during his career. According to records kept by the Financial Industry Regulatory Authority (FINRA), Melilli’s customer complaints allege that…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Daryl Tomobu Serizawa, currently employed by Woodbury Financial Services, Inc., has been subject to at least three customer complaints during his career. According to records kept by the Financial Industry Regulatory Authority (FINRA), Serizawa’s customer complaints allege that…
The law offices of Gana Weinstein LLP is reporting on public disclosures on advisor David Crane (Crane), currently registered with Centaurus Financial, Inc. (Centaurus Financial) out of Dacula, Georgia. According to a BrokerCheck report, Crane has been subject to at least one customer dispute. In addition, Crane disclosed five tax…
According to BrokerCheck records financial advisor Marvin Fisher (Fisher), currently employed by SagePoint Financial, Inc. (SagePoint Financial) has been subject to at least one customer complaint, one employment termination for cause, and four tax liens or judgments during the course of his career. According to records kept by The Financial…