Securities Lawyers Blog

There are Recent Customer Complaints with Broker David Gingerella in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Gingerella (Gingerella), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gingerella recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $900,000.00 on October 20, 2020.

Alleges unsuitable trading between May 2014 to March 2016.

Broker John Pestikas in Pnc Wealth Management LLC Firm Has Customer Complaint

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Pestikas (Pestikas), currently associated with Pnc Wealth Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pestikas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $35,955.54 on October 15, 2020.

Client alleges registered representative did not correctly explain how additional premiums would be credited to the contract’s income rider.

There are Recent Customer Complaints with Broker Nathan Fincher in Firm Santander Securities LLC

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Fincher (Fincher), previously associated with Santander Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fincher recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $48,000.00 on October 19, 2020.

The policyowners questioned the suitability of the recommendation to replace their old variable annuity policies purchased in 2010 with two new variable annuity policies purchased in 2020 with new 9 year surrender charges funded by selling their former policies at losses of $25,000 and $23,000, respectively and request a review.

There are Recent Customer Complaints with Broker Adam Fritzsche in Firm Ifs Securities

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Fritzsche (Fritzsche), previously associated with Ifs Securities, has at least one disclosable event. These events include one customer complaint, alleging that Fritzsche recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $108,079.08 on October 20, 2020.

Customer alleges the following: that 2 of her signatures were falsified on investment documentation; that her liquid net worth, net worth, and annual income were misrepresented on investment paperwork; that copies of account documentation were not provided at her request; that the investment recommendation was unsuitable; and that the registered representative was not adequately supervised. Time period of claim: 9/25/12 – 10/20/20

There are Recent Customer Complaints with Broker David White in Firm Cambridge Investment Research, INC.

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David White (White), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that White recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $80,686.00 on October 20, 2020.

Clients allege the FP failed to liquidate their accounts after receiving express instruction. The failure to liquidate the accounts allegedly resulted in losses to the clients.

There are Recent Customer Complaints with Broker Carter Mansbach in Firm Ceros Financial Services, INC.

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carter Mansbach (Mansbach), currently associated with Ceros Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mansbach recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on October 19, 2020.

Misrepresentation, & suitability

There are Recent Customer Complaints with Broker Jeffrey Sanders in Firm Cabot Lodge Securities LLC

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Sanders (Sanders), previously associated with Cabot Lodge Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sanders recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on October 20, 2020.

The claimant alleges the a breach of contract and warranties, violation of state securities statutes, breach of fiduciary duty, negligence and gross negligence, misrepresentation/omission, unjust enrichment, failure to supervise, common law and statutory claims and damages, vicarious and control personal liability.

Broker Eugene Yelverton in LPL Financial LLC Firm Has Customer Complaint

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Yelverton (Yelverton), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yelverton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $30,000.00 on October 19, 2020.

Customer alleges unsuitable alternative investment recommendation. Activity period: 12/2014 to 9/2020.

There are Recent Customer Complaints with Broker Drew Marchitello in Firm J.P. Morgan Securities LLC

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Marchitello (Marchitello), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marchitello recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on October 20, 2020.

Client alleges misrepresentation regarding variable annuity investment. Activity dates 09/08/2020-09/08/2020.

There are Recent Customer Complaints with Broker Douglas Miller in Firm Silver Oak Securities, Incorporated

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Miller (Miller), previously associated with Silver Oak Securities, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $75,000.00 on October 20, 2020.

Customer allegations against Silver Oak Securities include negligence, unsuitable recommendations, negligent supervision and breach of fiduciary duty.