Structured Product

There are Recent Customer Complaints with Broker Anthony D’angelo in Firm Fmsbonds, INC.

June 19, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anthony D’angelo (D’angelo), currently employed by Fmsbonds, 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), D’angelo’s most recent customer complaint alleges that D’angelo 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 $25,000.00 on September 24, 2024.

In the wake of the pandemic, customer alleges that he wanted to sell his bond position during their technical default/bankruptcy when there was still a market for them mid 2022 . Now 2024 there is no market and the bonds have not been restructured. Alleges broker did not follow instructions, provided poor information and customer service.

Broker Trey Toifel in Cetera Investment Services LLC Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Trey Toifel (Toifel), 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), Toifel’s most recent customer complaint alleges that Toifel 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 on June 21, 2023.

Claimant alleges that their registered rep recommended overly concentrated unsuitable investments in structured products.

Broker Michael Rudio in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

June 6, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Michael Rudio (Rudio), currently employed by Purshe Kaplan Sterling Investments 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), Rudio’s most recent customer complaint alleges that Rudio 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 on January 24, 2024.

Claimants allege that during the time period December 2020 to November 2021, representative recommended unsuitable investments in structured products.

There are Recent Customer Complaints with Broker Eric Ruthman in Firm Purshe Kaplan Sterling Investments

June 6, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Eric Ruthman (Ruthman), currently employed by Purshe Kaplan Sterling Investments 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), Ruthman’s most recent customer complaint alleges that Ruthman 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 on January 24, 2024.

Claimants allege that during the time period December 2020 to November 2021, representative recommended unsuitable investments in structured products.

Broker Stephen Krauss in LPL Financial LLC Firm Has Customer Complaint

May 29, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Stephen Krauss (Krauss), previously 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), Krauss’s most recent customer complaint alleges that Krauss 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 $16,502.00 on March 05, 2024.

03/28/2017 – 03/04/2024\, The client alleges that his advisor misrepresented the crediting\, on a JP Morgan S&P500 Dividend Aristocrats structured note.

There are Recent Customer Complaints with Broker Anthony D’angelo in Firm Fmsbonds, INC.

May 22, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anthony D’angelo (D’angelo), currently employed by Fmsbonds, 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), D’angelo’s most recent customer complaint alleges that D’angelo 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 $25,000.00 on September 24, 2024.

In the wake of the pandemic, customer alleges that he wanted to sell his bond position during their technical default/bankruptcy when there was still a market for them mid 2022. Now 2024 there is no market, and the bonds have not been restructured. Alleges broker did not follow instructions, provided poor information and customer service.

There are Recent Customer Complaints with Broker Doran James in Firm J.w. Cole Financial, INC.

May 22, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Doran James (James), currently employed by J.w. Cole Financial, INC. 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), James’s most recent customer complaint alleges that James 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 $154,957.00 on December 04, 2024.

Claimants allege their financial professional could not sell their structured notes prior to maturity which caused themalleged damages. Time period: December 2022 – January 2023

There are Recent Customer Complaints with Broker Joseph Barnas in Firm Osaic Wealth, INC.

May 17, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Joseph Barnas (Barnas), currently employed by Osaic Wealth, 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), Barnas’s most recent customer complaint alleges that Barnas 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 $80,000.00 on March 26, 2025.

The Claimants allege that RR recommended unsuitable structured note investments

Broker John Micera in RBC Capital Markets, LLC Firm Has Customer Complaint

May 11, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker John Micera (Micera), currently employed by RBC Capital Markets, 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), Micera’s most recent customer complaint alleges that Micera 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 $2,275,000.00 on April 09, 2024.

Alleged unsuitability related mainly to the clients’ investment in ‘high risk, illiquid, high commission/fee structured’ notes.

There are Recent Customer Complaints with Broker Nicholas Stamatis in Firm Ameriprise Financial Services, LLC

May 10, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Nicholas Stamatis (Stamatis), currently employed by Ameriprise Financial 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), Stamatis’s most recent customer complaint alleges that Stamatis 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 $80,000.00 on April 17, 2024.

Claimants allege advisor recommended unsuitable investments of variable annuities and structured notes.