Securities Lawyers Blog

Broker Surya Metzler in Centaurus Financial, INC. Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 22, 2025.

The customer alleges that during the period of April 2016 through August of 2022, the Registered Representative recommended unsuitable, complex, illiquid investments.

Broker Richard Corder in Infinex Investments, INC. Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

Previously financial advisor Richard Corder (Corder), previously employed by brokerage firm Infinex Investments, INC. 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 $20,000.00 on July 29, 2025.

The customer's counsel alleges that the recommendation of a non-traded REIT investment in 2014 was not in keeping with the client's investment needs and objectives, and that full disclosure was not made about the product.

There are Recent Customer Complaints with Broker Harry Schaffer in Firm Nylife Securities LLC

October 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 22, 2025.

Customer alleged the Income Annuity she purchased in September 2024 using funds from a previous investment was not based on sound financial judgment and resulted in a tax consequence.

There are Recent Customer Complaints with Broker James Mcarthur in Firm IBN Financial Services, INC.

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mcarthur (Mcarthur), previously associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcarthur 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 $540,000.00 on July 31, 2025.

Unsuitability, breach of fiduciary duty, breach of contract, misrepresentation and omission; fraud; fraudulent concealment, negligent hiring, failure to supervise alleged for the period of March 2021 through June 2022.

Broker Vincent Camarda in IBN Financial Services, INC. Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Camarda (Camarda), previously associated with IBN Financial Services, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Camarda 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 $540,000.00 on July 31, 2025.

Unsuitability, breach of fiduciary duty, breach of contract, misrepresentation and omission; fraud; fraudulent concealment, negligent hiring, failure to supervise

There are Recent Customer Complaints with Broker Daniel Barnard in Firm Cabin Securities, INC.

October 14, 2025 | by Staff Attorney

Previously financial advisor Daniel Barnard (Barnard), previously employed by brokerage firm Cabin Securities, INC. 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 on July 29, 2025.

The claimant alleges that the Firm and representative failed to make a suitable recommendation and over-concentrated claimant’s account in an oil & gas private placement and other unspecified investments in 2015. The claimant further allege that the Firm and representative misrepresented the investments and induced the claimant to retain the investment and cause them to suffer a loss.

Broker James Cox in Newbridge Securities Corporation Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Cox (Cox), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 $250,295.17 on July 17, 2025.

COMPLAINANT ALLEGES REP MADE NEGLIGENT MISREPRESENTATIONS AND BREACHED FIDUCIARY DUTIES IN THE SALE OF CDS.

Broker Eddie Williams in Lifemark Securities Corp. Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eddie Williams (Williams), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $50,000.00 on July 28, 2025.

Allegations pertain to an investment in an alternative product intended to be a small component of a larger diversified portfolio. Investments were purchased from 04/2016 to 03/2017. Unfortunately, the company that issued the investment has since filed Chapter 11 bankruptcy. As a result, allegations include breach of fiduciary duty, unsuitable recommendation, failure to supervise, and negligence. LifeMark believes these to be suitable and appropriate transactions given the information available at the time of the transaction, concerning the investment product as well as the client’s financials, risk tolerance and objectives as represented by the client.

Broker Christopher Larrabee in Benjamin F. Edwards & Company, INC. Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Larrabee (Larrabee), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Larrabee 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 $750,000.00 on July 31, 2025.

Claimants allege conspiracy to allow withdrawals from accounts by their late stepmother and her authorized agents to a third party, circumvent family trust, defraud client, and prevent claimants from accessing accounts. (Time frame 2016-2019).

There are Recent Customer Complaints with Broker Clovis Morrison in Firm Centaurus Financial, INC.

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clovis Morrison (Morrison), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Morrison 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 July 15, 2025.

The customers allege that, the Registered Representative recommended and misrepresented unsuitable, high-risk, illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.