Securities Lawyers Blog

Broker Paul Murphy in Calton & Associates, INC. Firm Has Customer Complaint

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Murphy (Murphy), currently associated with Calton & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $50,000.00 on October 23, 2020.

Suitability, Misrepresentation , Breach of Fiduciary Duty. Date range 2013 – 2020.

There are Recent Customer Complaints with Broker Jonathan Dutton in Firm Steward Partners Investment Solutions, LLC

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Dutton (Dutton), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dutton 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 $50,000.00 on October 21, 2020.

Claimants allege that they were recommended FSKR, an unsuitable, speculative, and high-risk investment.

Broker Ian Deliz Morales in Morgan Stanley Firm Has Customer Complaint

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Deliz Morales (Deliz Morales), previously associated with Morgan Stanley, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Deliz Morales 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 $500,000.00 on October 27, 2020.

Claimant alleges that Financial Consultant investment recommendations to purchase and to hold P.R. Securities were unsuitable in light of the clients’ risk tolerance. Claimants also allege that recommendations made by the Financial Consultant were particularly egregious in light of Puerto Rico’s well known deteriorating financial condition.

There are Recent Customer Complaints with Broker Andrew Scheirer in Firm Purshe Kaplan Sterling Investments

March 24, 2026 | by Staff Attorney

Previously financial advisor Andrew Scheirer (Scheirer), previously employed by brokerage firm Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $30,000.00 on October 23, 2020.

Former client stated he was unable to ‘get out’ of two REITs which had decreased in value that were sold to him at Mr. Scheirer’s prior BD-Kovack Securities. He states these were not suitable.

Broker Jason Zahtila in K2 Capital Asset Management, LLC Firm Has Customer Complaint

March 24, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jason Zahtila (Zahtila), currently associated with K2 Capital Asset Management, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Zahtila concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $900,000.00 on October 26, 2020.

Alleged unsuitable investments, churning and commission charges.

Broker Narinder Singh in Farmers Financial Solutions, LLC Firm Has Customer Complaint

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Narinder Singh (Singh), previously associated with Farmers Financial Solutions, LLC, has at least 4 disclosable events. These events include 2 customer complaints, 2 regulatory events, alleging that Singh recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 27, 2020.

Respondent Singh failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Patrick Strubbe in Firm Arkadios Capital

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Strubbe (Strubbe), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Strubbe 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 $14,000.00 on October 23, 2020.

Allegation unknown. Dissatisfied with account.

There are Recent Customer Complaints with Broker Andrew Roybal in Firm LPL Financial LLC

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Roybal (Roybal), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roybal 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 $21,887.48 on October 23, 2020.

Client alleges rep failed to follow instructions to invest assets into managed account , resulting in monetary loss.

Broker Robert Bradley in LPL Financial LLC / Visions Analysis LLC Firm Has Customer Complaint

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Bradley (Bradley), currently associated with LPL Financial LLC / Visions Analysis LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bradley 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 $200,000.00 on October 26, 2020.

RECOMMENDED INVESTMENTS INCONSISTENT WITH INVESTOR’S ‘GROWTH AND INCOME’ OBJECTIVE. ACTIVITY PERIOD: MARCH 2014 TO PRESENT.

There are Recent Customer Complaints with Broker Steven Pagartanis in Firm Lombard Securities Incorporated

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Pagartanis (Pagartanis), previously associated with Lombard Securities Incorporated, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Pagartanis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 20, 2020.

Claimant (a) invested approximately $1,000,000 with registered representative between 2006 and 2008, (b) believed that she was investing in real estate, (c) received approximately $564,000 in distributions, and (d) alleges that her funds were misappropriated by the registered representative for his personal use.