Securities Lawyers Blog

There are Recent Customer Complaints with Broker Diana Leon in Firm Osaic Wealth, INC.

April 11, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Diana Leon (Leon), currently employed by Osaic Wealth, INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), Leon’s most recent customer complaint alleges that Leon recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint on January 13, 2026.

The customer, by her counsel, alleges that a structured note recommended by the representative was not in keeping with the client’s needs and objectives, and/or that the investment was not fully explained to the client.

There are Recent Customer Complaints with Broker Neil Butler in Firm Wells Fargo Advisors Financial Network, LLC

April 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Butler (Butler), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $31,250.00 on January 14, 2026.

The client complains that the financial advisor made unsuitable recommendations regarding the fee structure of the share classes sold. (1/25/2018-1/14/2026)

Broker Peter Han in Cetera Advisors LLC Firm Has Customer Complaint

April 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Han (Han), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Han 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 $100,000.01 on January 08, 2026.

Client alleges unsuitable REIT investments.

Broker George Amanatides in David Lerner Associates, INC. Firm Has Customer Complaint

April 11, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker George Amanatides (Amanatides) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Amanatides was employed by David Lerner Associates, INC. at the time of the activity. If you have been a victim of Amanatides’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $150,000.00 on January 12, 2026.

George Amanatides: U4 – Energy 11 and Energy 12 purchases – unsuitability, misrepresentation and omission and breach of fiduciary duty. Timothy Cheriaparapil: U5 – Puerto Rico Bonds and SOAEX purchases – unsuitability, misrepresentation and omission and breach of fiduciary duty.\, Allegation period: May 18, 2004 the date of the first purchase of Puerto Rico Bonds to January 12, 2026, the date the SOC was received. \, The allegation do not include misappropriation, forgery, theft or conversion of funds or securities.

There are Recent Customer Complaints with Broker Eric Duncan in Firm Berthel, Fisher & Company Financial Services, INC.

April 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Duncan (Duncan), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duncan 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 $201,000.00 on January 10, 2026.

Suitability/negligence. 2020

Broker Leroy Born in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 12, 2026.

The client verbally complained the investment recommendation was unsuitable. (9/13/2024 – 6/18/2025)

Broker Megurditch Patatian in Supreme Alliance LLC Firm Has Customer Complaint

April 11, 2026 | 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 2 disclosable events. These events include 2 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 on January 13, 2026.

Customer states representative recommended investments in REITS that resulted in financial losses.

There are Recent Customer Complaints with Broker Michael Cecere in Firm Tsg Capital Advisors

April 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Cecere (Cecere), currently associated with Tsg Capital Advisors, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cecere 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 $167,000.00 on January 13, 2026.

Client alleged investment losses were incurred due to poor recommendations by his RR at the time between 10/27/2021 through 11/08/2021.

Broker Honor Rodgers in Raymond James & Associates, INC. Firm Has Customer Complaint

April 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Honor Rodgers (Rodgers), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodgers 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 $5,055.72 on January 12, 2026.

Client alleged they did not receive services for management fees they paid. Allegation activity dates: 06/24/2024 – 01/12/2026

There are Recent Customer Complaints with Broker Daniel Erben in Firm Td Private Client Wealth LLC

April 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Erben (Erben), previously associated with Td Private Client Wealth LLC, has at least one disclosable event. These events include one customer complaint, alleging that Erben 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 January 08, 2026.

Client alleges unauthorized purchases in his brokerage account. The alleged transactions occurred on August 26, 2025 and November 25, 2025. The matter is currently under investigation and client is being contacted for more information.