The securities fraud lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker John Prinzivalli (Prinzivalli). According to BrokerCheck records Prinzivalli has been the subject of at least two customer complaints, three financial disclosures, and one judgement or lien. The customer…
The law offices of Gana Weinstein LLP are investigating a string of customer complaints against broker Shawn Burns (Burns) currently registered Salomon Whitney LLC (Salomon). According to The Financial Industry Regulatory Authority (FINRA) BrokerCheck system, the customer complaints primarily allege unauthorized trading, failure to execute, suitability, misrepresentation, fraud, churning, and…
The Financial Industry Regulatory Authority (FINRA) has sanctioned Salomon Whitney, LLC (Salomon Whitney) concerning allegations from July 2008 through November 2009 the firm failed to establish and maintain a supervisory system reasonably designed to monitor transactions in leveraged, inverse, and inverse-leveraged Exchange-Traded Funds (Non-Traditional ETFs). Non-Traditional ETFs contained risks that…