Securities Lawyers Blog

Broker Jordana Wojnowski in LPL Financial LLC Firm Has Customer Complaint

October 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 15, 2025.

Customer alleges unauthorized sales

There are Recent Customer Complaints with Broker Joseph Beam in Firm Capital Investment Group, INC.

October 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on August 14, 2025.

GWG Holdings, Inc. filed for Chapter 11 bankruptcy on April 20, 2022. Relative to specific investments made by clients, claims included breach of written contract, breach of fiduciary duty, failure to supervise, misrepresentations and omissions; violation of FINRA Rules; violation of federal securities laws, violation of North Carolina and South Carolina Securities Act, and; violation of Best Interest Obligations (Reg BI).

There are Recent Customer Complaints with Broker Christopher Norton in Firm Sutter Securities Incorporated / Boustead Securities, LLC

October 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $99,500.00 on August 18, 2025.

Time Frame: June 2017. Claimants allege product is unsuitable.

There are Recent Customer Complaints with Broker Brian Lombardi in Firm Sutter Securities Incorporated / Boustead Securities, LLC

October 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $99,500.00 on August 18, 2025.

Time Frame: June 2017. Claimants allege product is unsuitable.

Broker Robert Sweet in Independent Financial Group, LLC Firm Has Customer Complaint

October 11, 2025 | by Staff Attorney

Currently financial advisor Robert Sweet (Sweet), currently employed by brokerage firm Independent Financial Group, LLC 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 pending customer complaint with a damage request of $100,000.00 on August 19, 2025.

Claimants allege representative is in violation of Reg BI due to investing in non-traded REITs.

Broker Megurditch Patatian in Supreme Alliance LLC Firm Has Customer Complaint

October 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Megurditch Patatian (Patatian), previously associated with Supreme Alliance LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Patatian recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on August 15, 2025.

Unsuitable investment in real estate investment trust (REIT) in 2013

Broker Huanwei Huang in Glendale Securities, INC. Firm Has Customer Complaint

October 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $580,000.00 on August 15, 2025.

CASE SEEKS TO OVERTURN DISMISSAL WITH PREJUDICE OF PREVIOUS CASE # 523945/2024 FILED IN KINGS COUNTY SUPREME COURT IN THE STATE OF NEW YORK. ALLEGATIONS TO BE HEARD IF PREVIOUS DISMISSAL IS OVERTURNED ARE THE SAME AS THE LAST TWO DISMISSED CASES: BREACH OF DUTY, CONVERSION, FRAUD AND MISREPRESENTATION, UNJUST ENRICHMENT, NEGLIGENCE, EXTREME EMOTIONAL DISTRESS. TIME PERIOD: BETWEEN 2020-2023

There are Recent Customer Complaints with Broker Scott Brooks in Firm Newbridge Securities Corporation

October 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $150,000.00 on August 14, 2025.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE, NEGLIGENCE, MISREPRESENTATION, VIOLATION OF FEDERAL SECURITIES LAWS, AND VIOLATION OF REG BI.

Broker Kenneth New in Arete Wealth Management, LLC Firm Has Customer Complaint

October 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on August 19, 2025.

Clients allege registered representative mishandled the assets Claimant entrusted to their care by over-concentrating the assets in illiquid non-traded alternative investments, which were unsuitable for Claimant’s ages,\, investment goals, and risk tolerance.

There are Recent Customer Complaints with Broker Thomas Justice in Firm Emerson Equity LLC

October 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 18, 2025.

Suitability and breach of fiduciary duty.