The securities lawyers of Gana Weinstein LLP are investigating customer and regulatory complaints filed against broker Jeffrey Hill (Hill). According to BrokerCheck records, Hill has been subject to three regulatory actions, eight customer complaints, and one termination for cause disclosures. The most recent customer complaint against Hill alleged that between…
Gana Weinstein LLP’s investment fraud attorneys are investigating multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) again broker Todd Douglas Ryman (Ryman). According to Ryman’s FINRA BrokerCheck records, there are several disclosures on his record pertaining to unauthorized trading, unsuitable trading, misrepresentation of material facts, amongst other…
The investment lawyers of Gana Weinstein LLP are investigating Waddell & Reed Inc.’s (Waddell & Reed) termination of former broker Paul Stanley (Stanley) working out of the Edmond, Oklahoma office. Stanley had been in the industry for 16 years and was a licensed supervisor with the firm. Waddell & Reed…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Robert Schultz (Schultz). According to BrokerCheck records, Schultz has been subject to four disclosures including four customer complaints. The customer complaints against Wolfe allege a number of securities law…
In a recent Wall Street Journal Article, it was reported that UBS Group AG sold $1.5 billion of contingent convertible (CoCo) bonds. According to the article, UBS received about $8 billion of orders for the sale. These bonds will pay an interest rate of 6.875% and last summer UBS sold…
Until about August 2015, Valeant Pharmaceuticals (Valeant)(Stock Symbol: VRX) was one of the fastest growing pharmaceutical companies on the market. Then its stock price all but collapsed. After shares peaked at more than $260 a share in August of 2015, it is now trading at about $26 a share and…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Edward Barger (Barger). According to BrokerCheck records Barger has been subject to at least four customer complaints, two regulatory action, and one criminal matter. The customer complaints against Barger…
The securities fraud lawyers of Gana Weinstein LLP are investigating a regulatory complaint (Disciplinary No. 2013038770901) filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Ricky Moore (Moore). FINRA alleged that between March 2012 and April 2013, while he was registered with Commonwealth Financial Network (Commonwealth Financial) Moore failed…
The securities fraud lawyers of Gana Weinstein LLP are investigating the employment separation filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Patrick Sands (Sands). According to BrokerCheck records Sands has been the subject of at least one customer complaint and one employment termination for cause. In November 2015,…
The securities fraud lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) and the agency’s bar of broker Eugene Smietana (Smietana). According to BrokerCheck records Smietana has been the subject of at least four customer complaints, one employment termination for cause, and…
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