According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Peter Steege (Steege) has at least 21 disclosable events. Such events include one criminal matter, four regulatory disclosures, two employment terminations for cause, and 14 customer complaints alleging that Steege engaged in some form of investment related…
The securities attorneys at Gana Weinstein LLP are investigating claims against Western International Securities, Inc. (Western International) broker Jorey Bernstein (Bernstein). According to BrokerCheck records, Bernstein has been subject to one pending customer complaint regarding excessive trading. In August 2018, a customer alleged that from 2009 to 2014, Bernstein excessively traded their…