Structured Product

Broker Bret Hartman in Cetera Wealth Services, LLC Firm Has Customer Complaint

April 24, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Bret Hartman (Hartman), currently employed by Cetera Wealth Services, LLC has been subject to at least 3 disclosable events. These events include 3 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), Hartman’s most recent customer complaint alleges that Hartman recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,000.00 on August 10, 2020.

Customer alleges misrepresentation and unsuitability of structured product investment.

There are Recent Customer Complaints with Broker Scott Mcbride in Firm LPL Financial LLC

April 12, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Scott Mcbride (Mcbride), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Mcbride’s most recent customer complaint alleges that Mcbride recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $15,000.00 on January 06, 2026.

Customer alleged misrepresentation of a structured product that was purchased in 2023

There are Recent Customer Complaints with Broker Diana Leon in Firm Osaic Wealth, INC.

April 11, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Diana Leon (Leon), currently employed by Osaic Wealth, INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), Leon’s most recent customer complaint alleges that Leon recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint on January 13, 2026.

The customer, by her counsel, alleges that a structured note recommended by the representative was not in keeping with the client’s needs and objectives, and/or that the investment was not fully explained to the client.

Broker Ted Chen in Equitable Advisors, LLC Firm Has Customer Complaint

April 8, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Ted Chen (Chen), previously employed by Equitable Advisors, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Chen’s most recent customer complaint alleges that Chen recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on January 27, 2026.

Client alleges the purchase of a structured product in 2025 was not suitable for his financial needs and resulted in unexpected tax consequences.

There are Recent Customer Complaints with Broker John Tarpinian in Firm Paulson Investment Company LLC

March 30, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker John Tarpinian (Tarpinian), previously employed by Paulson Investment Company LLC has been subject to at least 4 disclosable events. These events include 4 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), Tarpinian’s most recent customer complaint alleges that Tarpinian recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $342,852.00 on September 16, 2020.

The Claimant’s allege that Mr. Tarpinian made unsuitable recommendations to purchase structured notes.

There are Recent Customer Complaints with Broker Dustin Smith in Firm Citizens Securities, INC.

March 6, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Dustin Smith (Smith), currently employed by Citizens Securities, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Smith’s most recent customer complaint alleges that Smith recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,000,000.00 on December 02, 2025.

Claimants contend that Respondents invested the entirety of their retirement assets in illiquid structured notes.

Broker Igor Harlap in UBS Financial Services INC. Firm Has Customer Complaint

March 4, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Igor Harlap (Harlap), currently employed by UBS Financial Services INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Harlap’s most recent customer complaint alleges that Harlap recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint on December 30, 2025.

Allegations as stated by Claimant (include time frame of the alleged activity): 2025\, Time frame: Claimants allege their financial advisor improperly recommended a concentrated position in structured notes and alternative investments.

Broker Robert Kelly in Cetera Investment Services LLC Firm Has Customer Complaint

March 3, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Robert Kelly (Kelly), currently employed by Cetera Investment Services LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Kelly’s most recent customer complaint alleges that Kelly recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $6,500.00 on January 09, 2026.

Customer alleges unsuitable recommendations in a Structured Product.

Broker Oliver Owens in UBS Financial Services INC. Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Oliver Owens (Owens), currently employed by UBS Financial Services INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Owens’s most recent customer complaint alleges that Owens recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $2,621,498.00 on July 07, 2021.

Time frame: 15-Jan-2009 to 07-Jul-2021\, Allegations: Claimant alleges that UBS recommended unsuitable investments of Structured Investment Products in Claimant’s account. Claimant alleges that UBS misrepresented and failed to disclose material facts concerning certain investments and the fees/commissions being charged. Claimant also alleges unauthorized trading.

Broker Nicholas Mcmahan in Cetera Investment Services LLC Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Nicholas Mcmahan (Mcmahan), currently employed by Cetera Investment Services LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Mcmahan’s most recent customer complaint alleges that Mcmahan recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $18,588.00 on August 09, 2021.

Customer purchased non-principal protected structured notes in July, 2018. the notes matured in August, 2021. The structured notes had reached the principal barrier at maturity resulting in a loss to the customer. In a verbal complaint, the customer claims that the rep told him he would receive his money back at maturity. Though the file indicated the product had been appropriately disclosed to the customer at the time of purchase, the Firm determined to resolve the matter amicably.