Securities Lawyers Blog

There are Recent Customer Complaints with Broker Mary Twiddy in Firm Edward Jones

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Twiddy (Twiddy), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Twiddy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 02, 2021.

Client alleges she deposited funds into her account with the intent that her Financial Advisor would invest them and later learned they were not invested as instructed.

There are Recent Customer Complaints with Broker Luis Paredes Calvo in Firm Insigneo Securities, LLC

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Paredes Calvo (Paredes Calvo), currently associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paredes Calvo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000,000.00 on June 04, 2021.

In June 2021, Citi International Financial Services, LLC (the ‘Firm’) was served for a customer initiated FINRA arbitration against the Firm, alleging mishandling (e.g. Overconcentration) of the claimants’ account, thus ‘causing’ the customers’ ‘significant losses of capital’ and ‘damages’ in excess of $5,000,000. For that, the customers are requesting an award for damages, rescission, punitive damages, interest, costs, attorney’s fees, and such other and further relief the Arbitration Panel deems just and proper.\, Allegation period estimated from May 2012, date when account was opened, to 2020. \, The claimants’ FINRA Submission Agreement is dated May 14, 2021.

Broker Brandon Pflaum in Vcs Venture Securities Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Pflaum (Pflaum), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Pflaum recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $166,000.00 on June 02, 2021.

Approximately six years after the fact, customers allege an investment was unsuitable.

There are Recent Customer Complaints with Broker Giuseppe Pulitano in Firm Stonecrest Capital Markets, INC.

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Giuseppe Pulitano (Pulitano), currently associated with Stonecrest Capital Markets, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pulitano recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000,000.00 on June 04, 2021.

In June 2021 Citi International Financial Services, LLC (the ‘Firm’) was served for a customer-initiated FINRA arbitration, alleging the mishandling (e.g. Overconcentration) of the claimants’ account, thus ‘causing’ the customers’ ‘significant losses of capital’ and ‘damages’ in excess of $5,000,000. For that, the customers are requesting an award for damages, rescission, punitive damages, interest, costs, attorney’s fees, and such other relief the Arbitration Panel deems just and proper. The allegation period is estimated from May 2012 (the date the account was opened) to 2020. Claimants’ FINRA Submission Agreement is dated May 14, 2021.

There are Recent Customer Complaints with Broker Michael Spinosa in Firm National Securities Corporation

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Spinosa (Spinosa), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Spinosa recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $168,088.00 on June 11, 2021.

Unauthorized trading & suitability

Broker Jeffrey Miller in LPL Financial LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Miller (Miller), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on June 02, 2021.

Claimant alleges RR made unsuitable recommendations. Claimant alleges unsuitability, failure to disclose risks, and breach of contract.

There are Recent Customer Complaints with Broker Andrew Raskin in Firm LPL Financial LLC

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Raskin (Raskin), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raskin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 07, 2021.

The customer alleges that unsuitable advice was rendered regarding a loan management account in February of 2020.

There are Recent Customer Complaints with Broker David Park in Firm Cambridge Investment Research, INC.

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Park (Park), previously associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Park recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $3,000,000.00 on June 09, 2021.

Claimants allege that the recommendation of investments in 2016 and 2018 were not suitable and that misrepresentations/omissions were made with regard to certain investment products.

Broker Michael Wagner in Joseph Gunnar & CO. LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wagner (Wagner), currently associated with Joseph Gunnar & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wagner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $166,000.00 on June 02, 2021.

Approximately six years after the fact, customers allege an investment was unsuitable.

Broker Alan Stricker in Newedge Securities, LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Stricker (Stricker), currently associated with Newedge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stricker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $23,995.00 on June 02, 2021.

A customer complaint alleging that a covered call option strategy was not closed out at the right time. Alleged activity took place between July, 2020 and May, 2021.