Securities Lawyers Blog

There are Recent Customer Complaints with Broker Robert Binkele in Firm Ashton Stewart & Co., INC.

February 15, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2021.

In 2017, the customer sold real property that had appreciated in value. In order to defer paying the capital gains tax that would otherwise have been due upon that sale, the customer entered into an arrangement called a DST, or deferred sales trust, that resulted in the proceeds of the sale being placed in a trust. The trust then signed a promissory note agreeing to pay the customer the amount of the sale, plus interest. The customer now alleges that her decision to utilize the DST was the result of fraudulent representations and negligence, among other things.

There are Recent Customer Complaints with Broker Bradley Mascho in Firm Western International Securities, INC.

February 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Mascho (Mascho), previously associated with Western International Securities, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Mascho 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 $125,000.00 on June 01, 2021.

Unsuitability

Broker Susan Welo in Cetera Advisor Networks LLC Firm Has Customer Complaint

February 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Welo (Welo), previously associated with Cetera Advisor Networks LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Welo 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 May 24, 2021.

Customer alleges that alternative investment and penny stock purchases were unsuitable.

There are Recent Customer Complaints with Broker Arthur Randall Iii in Firm UBS Financial Services INC.

February 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Randall Iii (Randall Iii), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Randall Iii 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 $60,433.00 on May 27, 2021.

Time Frame: June 2, 2020\, \, What were the allegations against the individual? \, The client alleges his Financial Advisor failed to follow his instructions and sold his shares instead of transferring them to another account. .

There are Recent Customer Complaints with Broker William Mauro in Firm Cambridge Investment Research, INC.

February 15, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 26, 2021.

Customer alleged that certain attributes of the annuity contract purchased were not explained and was given poor advice to take Required Minimum Distributions from the contract which impacted the income benefit rider.

Broker Keith Simmons in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Simmons (Simmons), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Simmons 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 $8,000,000.00 on May 29, 2021.

The customer alleges unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Mary Twiddy in Firm Edward Jones

February 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 02, 2021.

Client alleges she deposited funds into her account with the intent that her Financial Advisor would invest them and later learned they were not invested as instructed.

There are Recent Customer Complaints with Broker Luis Paredes Calvo in Firm Insigneo Securities, LLC

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Paredes Calvo (Paredes Calvo), currently associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paredes Calvo 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 $5,000,000.00 on June 04, 2021.

In June 2021, Citi International Financial Services, LLC (the ‘Firm’) was served for a customer initiated FINRA arbitration against the Firm, alleging mishandling (e.g. Overconcentration) of the claimants’ account, thus ‘causing’ the customers’ ‘significant losses of capital’ and ‘damages’ in excess of $5,000,000. For that, the customers are requesting an award for damages, rescission, punitive damages, interest, costs, attorney’s fees, and such other and further relief the Arbitration Panel deems just and proper.\, Allegation period estimated from May 2012, date when account was opened, to 2020. \, The claimants’ FINRA Submission Agreement is dated May 14, 2021.

Broker Brandon Pflaum in Vcs Venture Securities Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Pflaum (Pflaum), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Pflaum 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 $166,000.00 on June 02, 2021.

Approximately six years after the fact, customers allege an investment was unsuitable.

There are Recent Customer Complaints with Broker Giuseppe Pulitano in Firm Stonecrest Capital Markets, INC.

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Giuseppe Pulitano (Pulitano), currently associated with Stonecrest Capital Markets, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pulitano 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 $5,000,000.00 on June 04, 2021.

In June 2021 Citi International Financial Services, LLC (the ‘Firm’) was served for a customer-initiated FINRA arbitration, alleging the mishandling (e.g. Overconcentration) of the claimants’ account, thus ‘causing’ the customers’ ‘significant losses of capital’ and ‘damages’ in excess of $5,000,000. For that, the customers are requesting an award for damages, rescission, punitive damages, interest, costs, attorney’s fees, and such other relief the Arbitration Panel deems just and proper. The allegation period is estimated from May 2012 (the date the account was opened) to 2020. Claimants’ FINRA Submission Agreement is dated May 14, 2021.