The law offices of Gana Weinstein LLP are currently investigating claims that Broker Melanie Folstad (Folstad) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Folstad was employed by RBC Capital Markets,…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sanjay Mathur (Mathur), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mathur recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mrunal Patel (Patel), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patel recommended unsuitable investments in different investment products including debt securities among other…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor John Micera (Micera), currently employed by RBC Capital Markets, LLC (RBC) has been subject to at least two customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Brian Wudemann (Wudemann), currently employed by RBC Capital Markets, LLC (RBC Capital) has been subject to at least seven customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Stuart Godin (Godin), currently employed by Western International Securities, Inc. (Western International) has been subject to at least eight customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory…
According to BrokerCheck records financial advisor Peter Bittermann (Bittermann), currently employed by Westminster Financial Securities, Inc. (Westminster Financial) has been subject to three customer complaints, one employment termination for cause, and one regulatory action. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Bittermann’s customer complaints…
The investment fraud lawyers of Gana Weinstein LLP are examining multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Michael Jay Sharenow (Sharenow). Sharenow’s FINRA BrokerCheck record shows several disclosures mainly pertaining to unsuitable investments. In November 2016, a customer alleged that he or she instructed…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints and a FINRA enforcement action with The Financial Industry Regulatory Authority’s (FINRA) against broker Michael Hebner (Hebner). According to BrokerCheck records, Hebner has been subject to five customer complaints and one employment termination for cause. The customer complaints against…
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…
