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7 Feb 2020, 8:21 am
In August 2019, we published an update noting that the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and the Federal Bureau of Investigation (FBI) were all looking into GPB Capital’s private placements, and we provided a timeline of the events that had transpired to date. [read post]
30 Aug 2012, 9:00 pm
In FINRA Regulatory Notice 12-05 (Jan. 2012), the Financial Industry Regulatory Authority (FINRA) cited an increase in the number of reported cases of money stolen from customer accounts as a result of bogus e-mail instructions from e-mail accounts of customers, which had been hacked by scam artists. [read post]
31 Jan 2017, 8:28 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Mark Gassoso (Gassoso) currently associated with National Securities Corporation alleging Gassoso engaged in a number of securities law violations including that the broker made unsuitable investments, unauthorized trading, and churning (excessive trading) among other claims. [read post]
27 Jan 2016, 11:51 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Keith Connolly (Connolly). [read post]
19 Oct 2016, 7:26 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Charles Obryant (Obryant) alleging unsuitable investments, negligence, breach of fiduciary duty, and unauthorized trading. [read post]
14 Sep 2016, 1:06 pm
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Mark Trewitt (Trewitt). [read post]
25 Apr 2016, 6:41 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Lisa Wolf (Wolf). [read post]
31 Oct 2015, 5:31 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Glen Delaney (Delaney) has been the subject of at least 2 customer complaints and 3 judgements or liens. [read post]
29 May 2017, 9:50 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Robert Schultz (Schultz). [read post]
15 Nov 2017, 6:22 pm
The investment fraud attorneys with Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Joseph Sterling (Sterling) currently associated with Geneos Wealth Management, Inc. [read post]
8 Feb 2017, 6:39 am
The investment attorneys of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Charles Fischer (Fischer) currently associated with IMS Securities, Inc. alleging negligence, misrepresentation, and unsuitable investments among other claims. [read post]
21 Jan 2017, 10:23 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Dominic Tropiano (Tropiano) currently not associated with any broker-dealer. [read post]
31 Oct 2015, 5:30 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker John Lopinto (Lopinto) has been the subject of at least two customer complaints. [read post]
14 Mar 2016, 8:27 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Michael McMahon (McMahon). [read post]
Former National Securities Corporation Broker Brian Folland Subject to Numerous Customers Complaints
8 Oct 2015, 6:36 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Brian Folland (Folland) has been hit with at least 30 customer complaints over his career and two tax liens. [read post]
22 Jan 2016, 6:56 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Michael Venturino (Venturino). [read post]
4 Apr 2016, 10:30 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Hayne (Hayne). [read post]
18 May 2016, 6:35 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Jacquin Fink (Fink). [read post]
10 Feb 2017, 8:28 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Michael Spears (Spears) currently associated with IMS Securities, Inc. alleging negligence, failure to supervise, misrepresentation, breach of fiduciary duty among other claims. [read post]
20 Feb 2016, 10:01 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker John Fenimore (Fenimore). [read post]
