The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Gregory Collier Sr. (Collier), currently employed by Raymond James Financial Services, Inc. (Raymond James Financial Services) has been subject to at least two customer complaints during the course of his career. According to records kept by…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Timothy O’Brien (O’Brien), formerly employed by Feltl & Company has been subject to numerous disclosures including at least six customer complaints, two criminal matters, four judgement or tax liens, and regulatory complaints during the course of his…
Financial advisor Paul Porter, currently employed at Wells Fargo Clearing Services, LLC (Wells Fargo), has been subject to at least four customer complaints during the course of his career. His most recent customer complaints allege unauthorized trading and unsuitability. All of Porter’s complaints have occurred at Wells Fargo – his…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Vincent Mazza (Mazza), formerly employed by National Securities Corporation (National Securities) has been subject to at least six customer complaints, six tax liens, and one regulatory action during the course of his career. According to records…
According to BrokerCheck records financial advisor Scott Mass (Mass), currently employed by David Lerner Associates, Inc. (David Lerner) has been subject to five customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Mass’ customer complaints allege that Mass made unsuitable recommendations in a variety…
According to BrokerCheck records financial advisor Wesley Clinton (Clinton), currently employed by Network 1 Financial Securities Inc. (Network 1 Financial) has been subject to eight customer complaints during his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Clinton concern allegations of unsuitable investments…
The securities attorneys at Gana Weinstein LLP are investigating claims against First Allied Securities, Inc. (First Allied) broker Mark Chamberlain (Chamberlain). According to BrokerCheck records, Chamberlain has been subject to seven customer complaints and one regulatory action. The majority of the complaints concern alternative investments and annuities. Most recently, in May 2015,…