The securities lawyers of Gana Weinstein LLP are investigating a customer complaint filed with The Financial Industry Regulatory Authority (FINRA) against broker Albert Dishner (Dishner), currently associated with Morgan Stanley. According to BrokerCheck records Dishner has been subject to at least four customer complaints among other claims. The customer complaints…
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Wendy Feldman (Feldman) currently associated with H. Beck, Inc. (H. Beck) alleging Feldman engaged in a number of securities law violations including that the broker made unsuitable investments and unauthorized trading among other…
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Brian Sak (Sak). According to brokercheck, Sak consented sanctions and an entry of findings that he failed to provide documents and information requested by FINRA during the course of its investigation into allegations that he…
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Cary Kievman (Kievman) alleging unsuitable investments and over concentrated positions among other claims. According to brokercheck records Kievman has been subject to five customer complaints. In August 2016 a customer filed a…
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Victor Lambert (Lambert) currently not registered with any firm, alleging unsuitable investments among other claims. According to brokercheck records Lambert has been subject to seven customer complaints and two judgement/liens. In January…
Our firm has previously reported on the growing trend of brokerage firms recommending non-purpose loans secured by their brokerage accounts to clients. See Investors Risk Big Losses with Loans Secured by Securities Collateral Accounts. Recently, the state of Massachusetts charged Morgan Stanley with conducting unethical – high-pressure – sales contests…
The investment fraud lawyers of Gana Weinstein LLP are investigating the regulatory complaint filed by The Financial Industry Regulatory Authority (FINRA) involving former FSC Securities Corporation (FSC) broker Leonard Fox (Fox) out of the firm’s Marlton, New Jersey office. According to BrokerCheck records Fox has been subject to four customer…
The investment fraud lawyers of Gana Weinstein LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Morgan Stanley involving broker Jamie Aguilar (Aguilar) out of the firm’s San Diego, California office. According to BrokerCheck records Aguilar has been subject to three customer complaints. According…
The securities lawyers of Gana Weinstein LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Kim Isaacson (Isaacson). According to BrokerCheck records Isaacson has been subject to at least four customer complaints, one employment termination, and one regulatory investigation. The customer complaints against…
The investment fraud lawyers of Gana Weinstein LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Morgan Stanley involving broker Brian Sak (Sak). According to BrokerCheck records Sak is subject to one customer complaint and one employment separation for cause, and one judgment or…