Securities Lawyers Blog

Broker Jonathan Dickson in Morgan Stanley Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Dickson (Dickson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dickson 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 $12,000.00 on January 25, 2022.

Client alleged misreprsentation with respect to rate of fees charged on managed accounts 2012 – 202121

Broker Barry Gilrane in LPL Enterprise, LLC Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Gilrane (Gilrane), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gilrane 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 January 21, 2022.

Client alleges the rep recruited him for employment at his prior firm and omitted material facts concerning the opportunity and made representations that were false and misleading.

Broker Anthony Giuliano in Osaic Wealth, INC. Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Giuliano (Giuliano), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Giuliano 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 $50,000.00 on January 24, 2022.

During the period of 2015-2022, Claimant alleges breach of fiduciary duty and negligence relating to the sale of real estate investment trusts.

There are Recent Customer Complaints with Broker Kim Dingee in Firm Ameriprise Financial Services, LLC

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Dingee (Dingee), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dingee 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 $99,999.99 on January 21, 2022.

Claimant alleges that she was sold an unsuitable, risky and complex alternative investment product, FSKR

Broker Roger Sims in LPL Financial LLC Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

Previously financial advisor Roger Sims (Sims), previously employed by brokerage firm LPL Financial 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 on January 18, 2022.

Claimants allege that between May 2014 and November 2015 representative made unsuitable investments in REITs.

Broker Christopher Mc Caffrey in Morgan Stanley Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Mc Caffrey (Mc Caffrey), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mc Caffrey 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 $15,531,642.00 on January 19, 2022.

Client alleged that FA recommended an unsuitable options investment strategy. 2018 to 2021

Broker Jonathan Cummings in LPL Financial LLC Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Cummings (Cummings), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cummings 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 $50,000.00 on January 21, 2022.

Claimant alleges misrepresentation and omissions of material fact, negligence and the sale of an unsuitable investment relative to the purchase of a real estate investment trust. Time period is 10/2014 through 12/2020.

Broker Nicolas Barrios in UBS Financial Services INC. Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 21, 2022.

Time Frame: 2012-2019 \, \, Allegations: POA for Claimant alleges FA Barrios invested in unsuitable speculative start up software company, provided falsified account statements to Claimant, and misappropriated Claimant’s funds invested.

Broker Vincent Mastrovito in J.w. Cole Financial, INC. Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

Previously financial advisor Vincent Mastrovito (Mastrovito), previously employed by brokerage firm J.w. Cole Financial, INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 award / judgment customer complaint with a damage request of $1,048,281.95 on January 24, 2022.

Client alleged REITs and insurance policy were unsuitable

Broker Angela Granata in J.w. Cole Financial, INC. Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Granata (Granata), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Granata 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 $995,797.00 on January 18, 2022.

Angela Granata was a Subject Of the customer’s complaint against her member firm and other named respondents that asserted the following causes of action: violations of FINRA Rule 2110, violations of FINRA Rule 2111: Recommending and Selling Securities Without Adequate Due Diligence and Without a Reasonable Basis, negligence, misrepresentations and omissions of material facts, breach of fiduciary duty, failure to supervise, and respondeat superior.