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.

The securities arbitration law firm, Soreide Law Group, is representing clients against financial advisors who recommended Diamond Offshore in large concentrated positions. DO may have been unsuitable for some investors and some brokers may have failed to limit losses as the stock crashed. Over concentrated positions in oil investments is totally unsuitable for senior citizens. Oil historically is extremely volatile and crashes every decade going back to the 1970s. We have already filed one claim against a National Securities broker for recommending Diamond Offshore to his customers and are interested in speaking with other clients who purchased the stock.

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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