Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jason Kunz in Firm Raymond James Financial Services, INC.

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Kunz (Kunz), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kunz 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 April 22, 2022.

Client alleged unauthorized trading. Allegation Activity Dates: 2/6/2020 – 4/22/2022.

There are Recent Customer Complaints with Broker William Theis in Firm Superior Financial Services, inc.

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Theis (Theis), currently associated with Superior Financial Services, inc., has at least one disclosable event. These events include one customer complaint, alleging that Theis 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 $431,011.89 on April 22, 2022.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts.

There are Recent Customer Complaints with Broker Arthur Korsun in Firm Northwestern Mutual Investment Services, LLC

November 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 22, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Jason Covington in Cetera Investment Services LLC Firm Has Customer Complaint

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Covington (Covington), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Covington 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 $12,256.00 on April 27, 2022.

?The client alleges the representative recommended an investment strategy that was not in her best interest, which created an unexpected tax liability of $12,256.00.

There are Recent Customer Complaints with Broker Justin Sinnott in Firm Charles Schwab & Co., INC.

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Sinnott (Sinnott), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Sinnott 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 $12,256.00 on April 27, 2022.

The client alleges the representative recommended an investment strategy that was not in her best interest, which created an unexpected tax liability of $12,256.00.

Broker Raymond Pirrello in Garden State Securities, INC. Firm Has Customer Complaint

November 28, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Raymond Pirrello (Pirrello) 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 Pirrello was employed by Garden State Securities, INC. at the time of the activity. If you have been a victim of Pirrello’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,800,000.00 on April 25, 2022.

Suitability, churning, beach of fiduciary duty.

Broker James Defano in LPL Enterprise, LLC Firm Has Customer Complaint

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Defano (Defano), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Defano 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 $9,662.00 on April 27, 2022.

Client was mislead about the dollar amount of the premium payments and customer is also alleging failure to disclose charges, expenses and fees.

There are Recent Customer Complaints with Broker Mary Wilcox in Firm J.w. Cole Financial, INC.

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Wilcox (Wilcox), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilcox 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 $25,000.00 on April 28, 2022.

Customer alleges that the oil and gas limited partnership purchased was not researched and vetted before allowing to be sold by representative therefore contributing to loss of principal invested.

Broker Steven Farr in Edward Jones Firm Has Customer Complaint

November 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 28, 2022.

The client alleges that he instructed the financial advisor to invest his funds on March 12, 2020 and they were not invested until May 29, 2020.

There are Recent Customer Complaints with Broker John Hinck in Firm Centaurus Financial, INC.

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hinck (Hinck), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hinck 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 $80,000.00 on April 25, 2022.

During the period February 2008 through September 2014, the customer alleges that the Registered Representative recommended illiquid, unsuitable investments and breached his fiduciary duty.