Articles Posted in securities fraud

The securities fraud lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Kerry Raheb (a/k/a Patrick Raheb) (Raheb). According to BrokerCheck records there are at least 5 customer complaints, two judgments or liens, and one criminal matter involving Raheb. The…

The securities fraud lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Steven Luftschein (Luftschein). According to BrokerCheck records there are at least 12 customer complaints against Luftschein. The customer complaints against Luftschein allege a number of securities law violations…

The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Michael Blueweiss (Blueweiss). According to BrokerCheck records there are at least 6 customer complaints against Blueweiss. The most recent customer complaint against Blueweiss filed in November 2014 alleges that…

The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Lance Slater (Slater). According to BrokerCheck records there are at least 2 customer complaints against Slater and one employment separation. The most recent customer complaint against Slater alleges that…

The investment lawyers of Gana Weinstein LLP are investigating customer complaints against broker Bernard Parker (Parker). The Securities and Exchange Commission (SEC) announced fraud charges against Parker, a former broker with Edward Jones through his DBA Parker Financial Services located in Indiana, Pennsylvania. Parker has been accused of raising at…

The securities fraud attorneys of Gana Weinstein LLP are investigating potential recovery options for investors with broker Zachary Bader (Bader). Recently The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 20130363873) which resulted in a permanent bar form the securities industry. The complaint alleged that from February…

The investment lawyers of Gana Weinstein LLP are investigating customer complaints against broker Brandon Gioffre (Gioffre). There are at least 3 customer complaints against Gioffre. In addition, there is one employment separations disclosed. The most recent customer complaint alleged that three individuals sent a letter to the firm on July…

As one of the largest non-traded real estate investment trust (Non-Traded REIT) company, AR Capital, closes shop on new offerings, a growing non-traded product lines up to take retail investor’s money. Enter the non-traded business development company (BDCs). BDCs have been a growing asset class that markets itself to investors…

The investment lawyers of Gana Weinstein LLP are investigating customer complaints against broker Robert Bragg (Bragg). There are at least 4 customer complaints against Bragg. The customer complaints against Bragg allege a number of securities law violations including that the broker made unsuitable investments, misrepresentations, negligence, fraud, and breach of…

The securities lawyers of Gana Weinstein LLP are investigating The Financial Industry Regulatory Authority’s (FINRA) investigation into broker Sperry Younger (Younger). In addition, there are at least 2 customer complaints against Younger, 6 judgments or liens, one financial matter disclosed. FINRA’s investigation relates to possible violations of NASD Rule 3010…