Securities Lawyers Blog

Broker Marvin Vick in Commonwealth Financial Network Firm Has Customer Complaint

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marvin Vick (Vick), previously associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Vick 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 $86,437.42 on June 30, 2020.

Claimant alleges that starting in January 2015, respondent recommended he purchase shares in an unsuitable limited partnership, Vanguard Natural Resources (“VNR”), which caused him to incur $86,437.42 in taxes and penalties in his ROTH IRA.

Broker Robert Wynn in Park Avenue Securities LLC Firm Has Customer Complaint

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Wynn (Wynn), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wynn 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 $100,000.00 on June 30, 2020.

Claimants allege the RR invested their money in unsuitable investments based on their stated investment objectives.

Broker Michael Lucia in Integrity Alliance, LLC. Firm Has Customer Complaint

April 29, 2026 | by Staff Attorney

Currently financial advisor Michael Lucia (Lucia), currently employed by brokerage firm Integrity Alliance, 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 $5,000.00 on July 06, 2020.

Claimant alleges unsuitable recommendations of REITs and BDCs. Date of Activity:8/23/15 to 6/17/20

Broker Jeffrey Cox in Raymond James Financial Services, INC. Firm Has Customer Complaint

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Cox (Cox), currently associated with Raymond James Financial Services, INC., 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 settled customer complaint with a damage request of $24,000.00 on July 06, 2020.

Client claimed registered representative recommended an unsuitable high-yield bond.

Broker Scott Barcomb in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

April 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 06, 2020.

The client alleges the investments she purchased in 2014-2015 were high risk and not consistent with her risk tolerance. The client also alleges the firm failed to supervise the activity of the representative and failed to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Todd Ellentuck in Firm Aegis Capital Corp.

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Ellentuck (Ellentuck), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Ellentuck 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 $420,000.00 on July 06, 2020.

Time Frame: August 2017 – November 2018. Claimants allege negligence, breach of fiduciary duty, breach of contract, common law fraud

Broker Randall Raciti in Cetera Wealth Services, LLC Firm Has Customer Complaint

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Raciti (Raciti), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raciti 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 $37,227.84 on July 03, 2020.

Clients allege that due to a miscommunication error by registered representative in October 2019, funds were not reallocated as intended after their partial rollovers from their 403(b) accounts were done.

Broker Daniel Brunette in Cetera Advisors LLC Firm Has Customer Complaint

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Brunette (Brunette), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brunette 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 $100,000.01 on July 01, 2020.

Claimant generally alleges unsuitability, due diligence, fraud and failure to supervise.

There are Recent Customer Complaints with Broker David Crawford in Firm David Lerner Associates, INC.

April 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $15,808.18 on July 16, 2020.

Crawford was a subject of the customer’s complaint against his member firm and/or other named respondent(s) that asserted the following causes of action: failure to timely execute sale; and breach of fiduciary duty. The causes of action relate to sale of Lord Abbett mutual fund.

Broker Tyler Bashaw in Kingswood Capital Partners, LLC Firm Has Customer Complaint

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Bashaw (Bashaw), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bashaw 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 $40,000.00 on July 14, 2020.

Newbridge Securities Corporation is a named party of an arbitration with the allegation of negligence, breach of fiduciary duty, and negligent supervision. The registered representative, Tyler Bashaw, was not named in the arbitration and was only mentioned in the subject of the statement of claim.