The investment fraud attorneys at Gana Weinstein LLP are currently investigating Stoever, Glass & Company Inc. (Stoever, Glass & Company) broker Adam Goodman (Goodman). According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Goodman has been subject to three customer disputes, one of which is still pending.…
Articles Posted in unsuitable investments
FINRA Suspends Mason Gann for Unauthorized Trades at Berthel Fisher
The investment fraud attorneys at Gana Weinstein LLP are currently investigating previously registered broker Mason Gann (Gann). According to BrokerCheck Records, Gann has been subject to a regulatory matter in which the Financial Industry Regulatory Authority (FINRA) sanctioned Gann for violations of the securities laws concerning unauthorized trading. In addition,…
FINRA Suspends Giustino Destefano for Unauthorized Trades
Securities attorneys at Gana Weinstein LLP are currently investigating previously registered broker Guistino Destefano (Destefano). According to BrokerCheck Records, Destefano has been subject to two terminations from employment and one regulatory action in which the Financial Industry Regulatory Authority (FINRA) sanctioned Destefano for various violations of the securities laws. In addition, …
Anthony Sica Subject to Multiple Regulatory Sanctions and Customer Complaints
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Anthony Sica (Sica) has been subject to three regulatory actions and nine customer complaints. Sica is currently registered with Joseph Gunnar & Co. LLC (Joseph Gunnar). The most recent regulatory action filed against Sica was in January…
Robert Clarke Subject to Multiple Customer Complaints
The investment lawyers of Gana Weinstein LLP are investigating claims against Robert Clarke (Clarke). According to BrokerCheck records, Clarke has five disclosures, four of them being customer complaints. In August 2017, a customer alleged Clarke misrepresented the nature of an investment and the purchase of the investment in the customer’s…
James Cox Suspended from Securities Industry
The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against broker James Cox (Cox). According to Cox’s Brokercheck records, he has been sanctioned by FINRA because he allegedly recommended unsuitable annuity transactions to a customer and received commissions of…
Jeanette Adcock Sanctioned by FINRA
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), broker Jeanette Adcock (Adcock) has been sanctioned for allegedly not complying with Illinois Securities Law. Additionally, Adcock has been subject to three customer disputes in 2017. Moreover, In April 2017, Adcock was “permitted” to resign from Wayne Hummer…
Teryl Trenchard Under FINRA Investigation for Fraud
The securities attorneys at Gana Weinstein LLP are investigating potential claims against former Capital Securities Management Inc. broker Teryl Trenchard (Trenchard). According to Trenchard’s BrokerCheck records, he was identified in a Financial Industry Regulatory Authority (FINRA) investigation on March 10, 2017. FINRA is examining alleged fraudulent activities of Trenchard. Trenchard…
Former Morgan Stanley Broker Peter Doyle Barred by FINRA
The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against former Morgan Stanley broker Peter Doyle (Doyle). According to BrokerCheck records, Doyle was terminated from Morgan Stanley in June 2016 for failing to adhere to industry rules and/or firm…
Investment Advisor Nadav Baum Subject to Fourteen Customer Complaints
The investment lawyers at Gana Weinstein LLP are investigating customer complaints against Pennsylvania Broker/Investment Advisor Nadav Baum (Baum). According to BrokerCheck records, Baum has been subject to fourteen customer complaints and two regulatory sanctions. The customer complaints allege that Baum engaged in securities law violations, including making unsuitable investments in…