Structured Product

There are Recent Customer Complaints with Broker Thomas Brunt in Firm Cetera Investment Services LLC

October 5, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Thomas Brunt (Brunt), 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), Brunt’s most recent customer complaint alleges that Brunt 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 $60,000.00 on October 26, 2022.

Claimant alleges they were overconcentrated in unsuitable structured product which resulted in losses.

There are Recent Customer Complaints with Broker Donavan Hilsabeck in Firm Wells Fargo Clearing Services, LLC

October 5, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Donavan Hilsabeck (Hilsabeck), previously employed by Wells Fargo Clearing 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), Hilsabeck’s most recent customer complaint alleges that Hilsabeck 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 $220,000.00 on October 27, 2022.

Claimant alleges that the performance of a structured CD purchased in 2015 and maturing in 2022 was misrepresented.

Broker Benjamin Fordham in LPL Financial LLC Firm Has Customer Complaint

October 4, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Benjamin Fordham (Fordham), 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), Fordham’s most recent customer complaint alleges that Fordham 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 $100,000.00 on November 07, 2022.

Claimants allege unsuitable recommendations of structured products. Activity period February 2015 to November 2022.

Broker Victor Furniss in Cetera Investment Services LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Victor Furniss (Furniss), 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), Furniss’s most recent customer complaint alleges that Furniss 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 $100,000.00 on February 06, 2023.

Claimant alleges that their portfolio was overconcentrated in an unsuitable structured note and also that the risks and liquidity were misrepresented.

There are Recent Customer Complaints with Broker Brian Bates in Firm LPL Financial LLC

September 21, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Brian Bates (Bates), 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), Bates’s most recent customer complaint alleges that Bates 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 $500,000.00 on February 13, 2023.

Claimants allege that their representative recommended unsuitable structured notes for their account. Activity period: November 2021 to September 2023.

Broker Eric Ruthman in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

September 3, 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 pending customer complaint with a damage request of $326,341.61 on July 22, 2025.

Client claims rep invested her money in structured notes that were unsuitable

Broker Vanessa Sopke in Cetera Investment Services LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Vanessa Sopke (Sopke), previously 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), Sopke’s most recent customer complaint alleges that Sopke 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 July 23, 2025.

The clients allege misrepresentation in the purchase of two structured products.

Broker Michaelangelo Dooley in Newedge Securities, LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Michaelangelo Dooley (Dooley), currently employed by Newedge Securities, 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), Dooley’s most recent customer complaint alleges that Dooley 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 $26,000.00 on September 16, 2022.

Customer alleges unsuitable investment allocations to international growth and emerging markets stocks, lack of diversification in managed account structured note portfolio and misrepresentations regarding tax exempt municipal bond yields.

There are Recent Customer Complaints with Broker Rodger Sprouse in Firm Creativeone Securities, LLC

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 30, 2022.

Without admitting or denying the findings, Sprouse consented to pay civil penalties and agrees to the entry of findings from the KSC Order. The findings indicate that from April 2017 until March 2018, Sprouse sold Purchase Agreements (PA), also known as structured cash flows, as an agent on behalf of Future Income Payments, LLC (FIP). At the time of sale, these PAs were not registered as securities under the KUSA as required.

Broker Jared Kaplan in Newedge Securities, INC. Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jared Kaplan (Kaplan), previously employed by Newedge 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), Kaplan’s most recent customer complaint alleges that Kaplan 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 $26,000.00 on September 16, 2022.

Customer alleges unsuitable investment allocations to international growth and emerging markets stocks, lack of diversification in managed account structured note portfolio and misrepresentations regarding tax exempt municipal bond yields.