Structured Product

There are Recent Customer Complaints with Broker Alexander Arango in Firm Cetera Investment Services LLC

July 3, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Alexander Arango (Arango), 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), Arango’s most recent customer complaint alleges that Arango 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 $600,000.00 on October 24, 2023.

Client alleges misrepresentation in the purchase of a Morgan Stanly Finance Structured Product.

Broker Anthony Makransky in LPL Financial LLC Firm Has Customer Complaint

July 3, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anthony Makransky (Makransky), 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), Makransky’s most recent customer complaint alleges that Makransky 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 $500,000.00 on October 23, 2023.

Claimants allege their advisor recommended an unsuitable variable annuity and misrepresented the costs and features of the annuity. They also allege their advisor recommended inappropriate equity indexed universal life insurance policies and structured notes.

Broker Jeffrey Goldman in Chapin, Davis Firm Has Customer Complaint

June 23, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jeffrey Goldman (Goldman), currently employed by Chapin, Davis 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), Goldman’s most recent customer complaint alleges that Goldman 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 $77,696.75 on December 06, 2023.

The client alleges that two Structured Notes purchased (01/22/2022 and 02/15/2022) were unsuitable.

Broker Jorge Menendez in Citigroup Global Markets INC. Firm Has Customer Complaint

June 22, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jorge Menendez (Menendez), currently employed by Citigroup Global Markets 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), Menendez’s most recent customer complaint alleges that Menendez 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 $800,000.00 on December 11, 2023.

Claimants alleges that in 2021, Financial Advisor, Jorge Menendez over-concentrated claimants’ portfolio of esoteric Auto-callable Structured Notes.

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.