Securities Lawyers Blog

There are Recent Customer Complaints with Broker Matthew Pyatt in Firm Edward Jones

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Pyatt (Pyatt), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Pyatt 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 $17,640.00 on April 22, 2021.

The client alleges that the financial advisor told her she had to sell her John Hancock annuity in August of 2020.

Broker Connor Furlan in Charles Schwab & Co., INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Connor Furlan (Furlan), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Furlan 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 $126,406.00 on April 21, 2021.

Client alleges representative did not follow instructions provided on January 6, 2020 and October 14, 2020 to process a 1035 exchange of an annuity. Instead, the annuity was liquidated and the cash proceeds were deposited to the client’s brokerage account, resulting in a tax liability of $126,406.

There are Recent Customer Complaints with Broker Jiaqi Chen in Firm Cetera Investment Services LLC

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jiaqi Chen (Chen), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 $221,000.00 on April 22, 2021.

Claimant alleges that their registered representative recommended unsuitable investment.

Broker Richard Minichino in Next Financial Group, INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Minichino (Minichino), previously associated with Next Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Minichino 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 $120,000.00 on April 20, 2021.

Claimants allege Mr. Minichino gave unsuitable recommendations and breached his fiduciary duty and that the Firm failed to supervise. The clients collectively had 4 accounts with the Firm and with Mr. Minichino as the Rep on all of them between October 2014 (and December 2014) until early 2016.

Broker George Kastanis in Securities America, INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Kastanis (Kastanis), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kastanis 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 April 14, 2021.

Claimant alleges that the registered representative made unsuitable recommendations.

Broker Bruce Hoover in the Huntington Investment Company Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Hoover (Hoover), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Hoover 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 $20,000.00 on April 16, 2021.

Claimant alleges unsuitability of sale of alternative investment that caused financial harm. The allegations include negligence, professional negligence, violations of law and breach of rules and regulations.

Broker Ricky Campbell in PFS Investments INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Campbell (Campbell), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Campbell 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 $100,000.00 on April 20, 2021.

Customer alleges i made unsuitable recommendations with respect to subaccount allocations within a variable annuity.

Broker Stephen Hannah in Citizens Securities, INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Hannah (Hannah), previously associated with Citizens Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hannah 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 $15,000.00 on April 14, 2021.

Client alleges that he was lied to concerning his managed wrap account investment. He further states that when he liquidated the account, he received $15,000.00 less than he was informed by the trade desk that he would receive.

Broker John Skoog in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Skoog (Skoog), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Skoog 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 $5,000.00 on April 22, 2021.

Customers alleging settlement of their variable annuity to a fixed income plan was unsuitable.

There are Recent Customer Complaints with Broker John Dobbertin in Firm IBN Financial Services, INC.

February 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 16, 2021.

Claimants allege violations of FINRA Rule 2110 and FINRA Rule 2111, negligence, misrepresentations and omissions of material facts, and breach of fiduciary duty.