Securities Lawyers Blog

Broker John Palma in Spartan Capital Securities, LLC Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Palma (Palma), previously associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Palma recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 03, 2025.

Negligent, Failure to Supervise , Unjust Enrichment , Violations of Stae Securities Act.

There are Recent Customer Complaints with Broker Manolo Baca in Firm J.P. Morgan Securities LLC

January 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 02, 2025.

Customer alleges registered representative did not follow trade instructions. Activity dates August 21, 2024 to September 30,2025.

Broker Patrick Durst in Lifemark Securities Corp. Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Durst (Durst), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Durst 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 November 03, 2025.

Allegations pertain to investment in an alternative product intended to be a small component of a larger diversified portfolio and annuity purchases. Investments were purchased from 05/2020 to 06/2021. Allegations include: unsuitable recommendation, violation of Regulation Best Interest, and breach of fiduciary duty. Client is seeking between $100,000 and $500,000 and costs and fees.

Broker Michael Dandrea in Arete Wealth Management, LLC Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Dandrea (Dandrea), currently associated with Arete Wealth Management, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Dandrea concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,440,000.00 on November 05, 2025.

Claim of excessive trading

Broker Travis Lippmann in Spartan Capital Securities, LLC Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 03, 2025.

These alleigation are for all three claiants, indivdual is broker of record for one claimant only. Breach of fidciary duty, Negligence, excesive trading, faiure to supervise

Broker Rebekah Bodkin in Edward Jones Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 06, 2025.

Client alleges the sells of AVDV, IVV, IJR, IWB, VEA, VUG, VTV and BRHYX on October 7, 2025 were unauthorized.

There are Recent Customer Complaints with Broker David Cohen in Firm Cetera Investment Services LLC

January 5, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker David Cohen (Cohen) 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 Cohen was employed by Cetera Investment Services LLC at the time of the activity. If you have been a victim of Cohen’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint on November 03, 2025.

Clients allege misappropriation of funds.

There are Recent Customer Complaints with Broker Roy Longoria in Firm Sunbelt Securities, INC.

January 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 04, 2025.

Client alleges that he was not informed that his bond could be sold (at a discount) prior to the maturity date.

Broker Adam Chustz in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Chustz (Chustz), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Chustz 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 October 31, 2025.

Breach of Contract and Warranties, Promissory Estoppel; Consumer Protection and Deceptive Trade Practices Act; Violation of State Securities Statutes; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence; Misrepresentation/Omission and Neglect Misrepresentation/Omission; Unjust Enrichment; Failure to Supervise; Common Law, Statutory Claims and Damages; Vicarious & Control Person Liability;

Broker Raymond De Witt in Realta Equities, INC. Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 04, 2025.

Failure to conduct reasonable due diligence, violations of federal securities law, violation of Utah Securities Act, violation of California Securities Act, breach of contract, breach of fiduciary duty, and negligence.