The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Linda Dowd. According to BrokerCheck records, Dowd has been subject to employment separation from WFG Investments Inc. (WFG Investments) and one regulatory action. Linda Dowd has spent 27 years in…
Our law office is investigating potential customer complaints against David Diehl in the wake of the findings and sanctions by the Financial Industry Regulatory Authority (FINRA) concerning allegations that Diehl engaged in private securities transactions, often referred to as “selling away”, and an outside business activity without disclosing these activities…
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