Securities Lawyers Blog

Broker Samuel Mosey in Oakpoint Solutions, LLC Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

Currently financial advisor Samuel Mosey (Mosey), currently employed by brokerage firm Oakpoint Solutions, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or 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 have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint on November 05, 2025.

Between 2024 and 2025, the representative allegedly misrepresented a private placement, Airspace Data SPV III LLC.

Broker Alexandre Maltez in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexandre Maltez (Maltez), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Maltez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 24, 2025.

Client expressed concerns relating to the performance of certain investments she purchased.

Broker Jeremiah Roman in PFS Investments INC. Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremiah Roman (Roman), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Roman 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 $200,000.00 on September 23, 2025.

Claimants, through counsel, allege that while jeremiah roman was associated with pfsi they gave money to roman to invest in an outside (non-pfsi) business not disclosed to pfsi.

Broker Juan Hernandez in PFS Investments INC. Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $40,000.00 on December 09, 2025.

Customer alleges that I failed to follow his instructions and submit a trade for the transfer of funds from a money market fund to an equity fund position.

Broker Ryan Masters in Morgan Stanley Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,500,000.00 on December 05, 2025.

Claimant alleges negligence, gross negligence, breach of fiduciary duty, aiding and abetting fraud, aiding and abetting conversion, interference with inheritance, and violation of customs and standards of the securities industry.

There are Recent Customer Complaints with Broker Justin Funakura in Firm Farmers Financial Solutions, LLC

April 13, 2026 | by Staff Attorney

Previously financial advisor Justin Funakura (Funakura), previously employed by brokerage firm Farmers Financial Solutions, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or 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 have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $315,000.00 on September 02, 2025.

The representative was involved in solicitation of an unregistered private placement without Farmers Financial Solutions, LLC’s knowledge or approval. Mr. Funakura facilitated the purchase of Jazzberry promissory notes that were not approved to sell to the public

There are Recent Customer Complaints with Broker Ryan Racine in Firm Hantz Financial Services, INC.

April 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $110,000.00 on November 17, 2025.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts.

There are Recent Customer Complaints with Broker Frank Tenteromano in Firm J.P. Morgan Securities LLC

April 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $268,354.69 on July 24, 2025.

Customer alleges unsuitable investment recommendation. Activity dates December 2021 to July 2023.

There are Recent Customer Complaints with Broker James Burton in Firm Farmers Financial Solutions, LLC

April 13, 2026 | by Staff Attorney

Previously financial advisor James Burton (Burton), previously employed by brokerage firm Farmers Financial Solutions, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or 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 have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $315,000.00 on September 02, 2025.

The representative was involved in an unregistered private placement without Farmers Financial Solutions, LLC’ knowledge or approval. Mr. Burton facilitated the purchase of Jazzberry promissory notes that were not approved to sell to the public.

There are Recent Customer Complaints with Broker Leonard Gilroy Solano in Firm Cetera Financial Specialists LLC

April 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $600,000.00 on September 25, 2025.

Complainant alleges the decedent was influenced in their beneficiary selection, including naming their advisor as one of the beneficiaries.