Securities Lawyers Blog

There are Recent Customer Complaints with Broker Yu Tang in Firm Globalink Securities, INC.

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yu Tang (Tang), previously associated with Globalink Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tang 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 $130,000.00 on April 11, 2023.

Client represented herself as a conservative investor and alleges that the municipal bond she purchased at the representative’s advice was unsuitable.

Broker Lawrence Napolitano in Independent Financial Group, LLC Firm Has Customer Complaint

September 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 08, 2023.

Various and non-various breach of fiduciary duty.

There are Recent Customer Complaints with Broker Tek Wiegert in Firm Northwestern Mutual Investment Services, LLC

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tek Wiegert (Wiegert), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wiegert 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 $5,000.00 on April 06, 2023.

Customers alleged the sales process for the life insurance policies did not address their financial needs and goals.

Broker Marc Haggar in UBS Financial Services INC. Firm Has Customer Complaint

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Haggar (Haggar), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Haggar 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 $70,000.00 on April 10, 2023.

Time frame: December 2020-February 2023\, \, Client alleges a misstatement of fact and a failure to follow instructions regarding certain investments which were agreed to be retained once brought into UBS.

Broker Robert Gustafson in Ameriprise Financial Services, LLC Firm Has Customer Complaint

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Gustafson (Gustafson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gustafson 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 $36,974.00 on April 08, 2023.

The client alleged the advisor transferred the incorrect number of AAPL shares from her Roth IRA to her NQ account in January 2022 and misrepresented the amount of tax liability she would be responsible for.

There are Recent Customer Complaints with Broker Joseph Altobelli in Firm Osaic Wealth, INC.

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Altobelli (Altobelli), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Altobelli 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 April 11, 2023.

Claimant’s attorneys allege that the recommendation of one non-traded business development company was not in keeping with the client’s objectives and risk tolerance, and that full disclosure was not made regarding the investment.

There are Recent Customer Complaints with Broker Jammie Avila in Firm Independent Financial Group, LLC

September 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 08, 2023.

Various and non-various breach of fiduciary duty.

There are Recent Customer Complaints with Broker Nader Gandevani in Firm Moloney Securities Co., INC.

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nader Gandevani (Gandevani), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Gandevani 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 $75,000.00 on April 11, 2023.

Suitability/negligence. 2021

There are Recent Customer Complaints with Broker Jason Slezak in Firm Landolt Securities, INC.

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Slezak (Slezak), currently associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Slezak 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 $646,520.00 on April 10, 2023.

Registered Representative Jason Slezak sold claimant GWG L Bonds in August 2017 and December 2018, totaling $656,520. Following GWG’s bankruptcy in 2022, Claimant is now alleging these trades were unsuitable. Claimant also alleges breach of fiduciary duty, negligent misrepresentation, lack of sufficient due diligence, failure to supervise, and Regulation Best Interest Violations.

Broker Thomas Livaccari in Rockefeller Financial LLC Firm Has Customer Complaint

September 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 07, 2023.

Time Frame: March 3rd, 2022 to February 13th, 2023\, \, What were the allegations against the individual? Client alleges he was inappropriately put into investments based on misstated facts and errors that were structurally contrary to his instructions on what was acceptable to place his money.