Securities Lawyers Blog

Broker James Senglaub in Independent Financial Group, LLC Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Senglaub (Senglaub), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Senglaub 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 $342,000.00 on April 22, 2021.

Claimants allege the registered representative recommended alternative investments that were unsuitable.

There are Recent Customer Complaints with Broker Anne Machesky in Firm Osaic Wealth, INC.

February 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 20, 2021.

Claimants allege that the registered representatives recommended inappropriate investments and strategies that caused damage to Claimants\\u00e2?? Estate.

Broker Robert Fehrman in Msc – Bd, LLC Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Fehrman (Fehrman), previously associated with Msc – Bd, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fehrman 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 $1,150,000.00 on April 22, 2021.

Accredited Investor made several investments into GPB investments, including GPB Holdings II, Holdings III, Auto and NYC Development.

Broker Robert A Elmo in UBS Financial Services INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert A Elmo (Elmo), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Elmo 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 $1,312,698.56 on April 15, 2021.

Starting January 1, 2011\, Claimants’ counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses. Claimant’s counsel further alleges that Claimants’ risk profiles were changed without knowledge or consent.

Broker Michael Bramlett in Country Capital Management Company Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 23, 2021.

Respondent Bramlett failed to respond to FINRA request for information.

There are Recent Customer Complaints with Broker Christopher Sargent in Firm Stonehaven, LLC

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Sargent (Sargent), currently associated with Stonehaven, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sargent 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 $400,000.00 on April 26, 2021.

Unreasonable investment recommendations and breached their fiduciary duties

Broker Jenna Biancavilla in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jenna Biancavilla (Biancavilla), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Biancavilla 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 $20,000.00 on April 23, 2021.

The client alleges the investment she purchased in 2015 was unsuitable and misrepresented to her by the representative. The client also alleges Berthel, Fisher & Company Financial Services, Inc. failed to supervise the representative and failed to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Andrew Dinkelmeyer in Firm Arkadios Capital

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Dinkelmeyer (Dinkelmeyer), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Dinkelmeyer 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 $400,000.00 on April 26, 2021.

Unreasonable investment recommendations ,breach of fiduciary duties

Broker Jonathan Connolly in Aegis Capital Corp. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Connolly (Connolly), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Connolly 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 $95,027.44 on April 26, 2021.

December 2012 – November 2020. Claimant alleges unsuitable investment recommendations.

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

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janine Zander (Zander), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Zander 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 $18,880.00 on April 26, 2021.

Client alleges the former FA omitted capital gain consequences of actions she proposed in selling existing assets to purchase various John Hancock mutual funds resulting in a tax bill of $18,880.00.