In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Soreide Law Group is investigating potential claims versus Aegis Capital Corp regarding its sale of Ampio Pharmaceuticals stock to Aegis customers. Aegis was joint booking running manager for Ampio (AMPE) in July 2012 when the company sold additional stock to the public. On the day of the offering the stock traded to a high of 4.25. The stock has trended lower since the sale to the public and is currently trading at .89 per share. Despite years of struggles, Aegis' research department consistently rated the stock as a buy with price projections as high as $15 per share.
If your stock broker recommended AMPE please contact Soreide Law Group for a free legal consultation 1-888-760-6552.
In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Centaurus Financial appears as the firm on a pending customer arbitration against Brett Ewing (CRD 2904608). The customer filed it on September 14, 2026. According to BrokerCheck, the customer alleges that Ewing recommended unsuitable, illiquid investments from February 2016 through February 2019. Ewing denies the allegations, and no arbitrator has ruled.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
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