Securities Lawyers Blog

Broker Vincent Petrangelo in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 06, 2021.

Claimants allege Branch Manager failed to adequately supervise Claimants’ FAs. Alleged Activity dates: 2/13/2009 to present.

Broker Jeffrey Cleek in Valic Financial Advisors, INC. Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Cleek (Cleek), currently associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cleek 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 $12,059.15 on January 08, 2021.

Clients allege they requested their registered representative move their accounts on October 20, 2020 to a short-term fixed interest fund. The requested transactions were not performed by the registered representative, causing their accounts to incur market losses.

Broker Steven Dean in LPL Financial LLC Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 05, 2021.

The customer alleged unsuitable recommendation.

Broker Edman Alicea Rodriguez in Popular Securities, LLC Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2021.

Claimant alleged that Financial Consultant investment recommendations to purchase P.R. Securities were unsuitable in light of the clients’ risk profile. Claimants also alleged that recommendations made by the Financial Consultant were outrageous in light of Puerto Rico’s well known deteriorating financial condition.

There are Recent Customer Complaints with Broker Barbara Landry in Firm Raymond James & Associates, INC.

April 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 06, 2021.

Claimants allege FAs failed to communicate with Claimants about their investments despite receiving account fees and improperly received both mutual fund commissions and account fees. Alleged Activity Dates: 2/13/2009 to present.

There are Recent Customer Complaints with Broker Ralph Baker in Firm Ameriprise Financial Services, INC.

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Baker (Baker), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 $111,000.00 on January 05, 2021.

Claimant alleges that he was recommended unsuitable, high-commission, high-risk, and speculative alternative investments, FSKR and CNL Healthcare Properties.

There are Recent Customer Complaints with Broker Frederick Driscoll in Firm Cetera Wealth Services, LLC

April 17, 2026 | by Staff Attorney

Currently financial advisor Frederick Driscoll (Driscoll), currently employed by brokerage firm Cetera Wealth Services, 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 settled customer complaint with a damage request of $100,000.00 on January 06, 2021.

The claimant alleges that representative invested 100% of her mother’s IRA assets into a risky and illiquid non-traded REIT investment.

Broker William Wolff in First Manhattan CO Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Wolff (Wolff), previously associated with First Manhattan CO, has at least one disclosable event. These events include one customer complaint, alleging that Wolff 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 $714,153.00 on January 07, 2021.

Customer alleged that First Manhattan Co. (“FMC”) inappropriately placed investment portfolio into fee-paying investment advisory accounts and made various allegations regarding the suitability of investments and the registration status of the investment advisor. Customer did not specify a demand but ultimately demanded return of all advisory fees which amounted to $714,153.

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

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Pesavento (Pesavento), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pesavento 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 $250,000.00 on January 06, 2021.

The deceased customer’s estate and trust alleges unsuitable investment recommendations and failure to disclose excessive fees.

Broker Caleb Stephens in Park Avenue Securities LLC Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Caleb Stephens (Stephens), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stephens 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 $72,000.00 on January 17, 2021.

The client alleges that the financial advisor provided poor advice regarding July 2017 IRA distribution.