The law offices of Gana Weinstein LLP are currently investigating claims that advisor Kieth Baron (Baron) has been accused by The Financial Industry Regulatory Authority (FINRA) of engaging in undisclosed outside business activities (OBAs) and private securities transactions.  According to records kept by FINRA, Baron was last employed by Equity Services, Inc. (Equity Services) through January 2022.  According to BrokerCheck, Baron has 11 disclosures on his record including two regulatory actions, two financial disclosures, one employment termination, and six customer complaints.&nb ..read more

Advisor Robert Lorente (Lorente), formerly employed by brokerage firm Aurora Securities (Aurora), has been subject to at least two customer complaints during the course of his career.  According to a BrokerCheck report the customer complaints concern alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high ri ..read more

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Kultar Bindra (Bindra), currently employed by Truist Investment Services, Inc. (Truist) has been subject to at least two customer complaints during the course of his career.  According to records kept by The Financial Industry Regulatory Authority (FINRA), Bindra’s customer complaint alleges that Bindra recommended unsuitable investments in structured products and makes allegations concerning the misrepresentation of the product among other allegations of misconduct relating to the han ..read more

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Wenjinn Chang (Chang), currently associated with Independent Financial Group, LLC (IFG), has been subject to at least two customer complaints during his career.  Those complaints against Chang allege that Chang recommended unsuitable investments in various investments among other allegations of misconduct relating to the handling of their accounts. In February 2020, a customer complained that Chang violated securities laws by alleging that Chang engaged in negligent investment advice ..read more

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Sandberg (Sanberg), currently associated with Ameriprise Financial Services, LLC (Ameriprise), has been subject to ten customer complaints and one regulatory action during his career.  Several of those complaints against Sandberg allege that Sandberg recommended unsuitable investments in various investments among other allegations of misconduct relating to the handling of their accounts. In December 2020, a customer complained that Sandberg violated the securities laws by alleg ..read more

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), advisor Barbara Shaffer (Shaffer), currently employed at Cambridge Investment Research, Inc. (Cambridge), has been subject to at least four customer complaints during the course of her career. Several of those complaints against Shaffer allege that Shaffer engaged in authorized trading and recommended unsuitable investments, including into the GPB Ponzi scheme among other allegations of misconduct relating to the handling of their accounts.  However, three of these complaints have been expun ..read more

The law offices of Gana Weinstein LLP are currently investigating claims that advisor Allen Hershberg (Hershberg) has been accused by his former employer of engaging in business investment activities including undisclosed outside business activities (OBAs) and private securities transactions.  According to records kept by The Financial Industry Regulatory Authority (FINRA), Hershberg was employed by Morgan Stanley Smith Barney, LLC (Morgan Stanley) at the time of the activity.  If you have been a victim of Hershberg’s alleged misconduct our firm may be able to assist you in recoverin ..read more

Advisor Valentino Scott (Scott), currently employed by brokerage firm Centaurus Financial, Inc. (Centaurus) has been subject to at least 10 disclosures including eight customer complaints, one regulatory action, and one employment termination for cause.  According to a BrokerCheck report some of the customer complaints concern alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP ha ..read more

The law offices of Gana Weinstein LLP are currently investigating claims that advisor Tyler Dean Delahunt (“Delahunt”) has been accused by a securities regulator of engaging in unapproved business activities among other allegations. Delahunt was sanctioned by The Financial Industry Regulatory Authority (FINRA) concerning his private securities and undisclosed outside business activity conduct.  According to records kept by The Financial Industry Regulatory Authority (FINRA), Reed was employed by Merrill Lynch, Pierce, Fenner & Smith, Inc. (“Merrill Lynch”) at the time of the activity ..read more

The investment fraud attorneys at Gana Weinstein LLP have currently been investigating previously registered broker John Blakezuniga (Blakezuniga). According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Blakezuniga, has three regulatory disclosures on his profile. In 2017, Blakezuniga allegedly violated his firm’s policy when he borrowed $775,000 from two of his firm’s customers and did not repay the full principal amount for either of these loans. According to FINRA, it is generally prohibited for an investment advisor to borrow money from a client unles ..read more