Structured Product

There are Recent Customer Complaints with Broker Joseph Badolato in Firm Key Investment Services LLC

October 23, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Joseph Badolato (Badolato), currently employed by Key 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), Badolato’s most recent customer complaint alleges that Badolato 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 $82,000.00 on December 28, 2022.

The complaint was received by the firm as a direct arbitration claim filing. Through statement of claim, client alleges misrepresentation by the RR in the March 2021 purchase of a structured CD in the amount of $82,000.00.

Broker Britta Ferguson in Wealth Enhancement Brokerage Services, LLC Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Britta Ferguson (Ferguson), currently employed by Wealth Enhancement Brokerage 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), Ferguson’s most recent customer complaint alleges that Ferguson 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 $10,800.00 on July 15, 2025.

Firm was notified on 07/15/2025 of the customer complaint. A structured note was purchased on 03/25/2025 without proper explanation to the client. The risk level of the investment was not something the customer was comfortable with and would not have moved forward with the purchase had she known upfront. The structured note had already been purchased and was in the process of being journaled. Once the journal settled, the position was closed/sold on 04/04/2025 resulting in the alleged compensatory damage amount.

There are Recent Customer Complaints with Broker Mario Payne in Firm Raymond James Financial Services, INC.

October 15, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Mario Payne (Payne), previously employed by Raymond James 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), Payne’s most recent customer complaint alleges that Payne 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 June 09, 2025.

FA improperly engaged in a high-risk, illiquid, complex, and unsuitable investment strategy that concentrated them in structured products such as structured notes, and they also allege the products were misrepresented as safe, guaranteed, and insured.

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.