Securities Lawyers Blog

There are Recent Customer Complaints with Broker Keith Dagostino in Firm Ef Hutton LLC

December 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Dagostino (Dagostino), previously associated with Ef Hutton LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dagostino recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 28, 2025.

Client alleges unsuitable investments.

There are Recent Customer Complaints with Broker Suihock Goy in Firm Ni Advisors

December 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suihock Goy (Goy), currently associated with Ni Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Goy 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 $1,950,000.00 on October 25, 2025.

Claim purports unsuitable recommendation of corporate bond in which the issuer subsequently declared bankruptcy. Bond purchases were made in 2019 by four individuals in this combined case.

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

December 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 28, 2025.

Client alleged advisor misappropriated their funds.

There are Recent Customer Complaints with Broker Stephen Giannantonio in Firm Aegis Capital Corp.

December 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 28, 2025.

Time frame: Unspecified. Customers allege breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customers investments.

Broker Thomas Forest in First Heartland Capital, INC. Firm Has Customer Complaint

December 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 27, 2025.

Customer alleges various misrepresentations during the solicitation of indexed universal life insurance.

There are Recent Customer Complaints with Broker Anthony Megaro in Firm Nationwide Planning Associates INC.

December 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Megaro (Megaro), currently associated with Nationwide Planning Associates INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Megaro recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 27, 2025.

The RR entered into a Stipulation with the New York State Department of Financial Services for failure to comply with Guardian Life’s policies and procedures related to document integrity and authenticity.

FINRA Accuses Spartan Capital of Churning Client Accounts to Fuel Its Business Model

December 18, 2025 | by Staff Attorney

In December 2025, FINRA filed a sweeping enforcement action against Spartan Capital Securities, alleging that the New York–based broker dealer built its business on systematic churning and excessive trading that generated millions in revenue while inflicting massive losses on customers.

According to FINRA’s complaint, 114 customer accounts incurred nearly $10 million in trading costs and almost $8 million in losses between January 2018 and April 2022. More than half of those accounts belonged to senior investors.

FINRA’s conclusion was blunt: “Spartan’s business model depended on this misconduct.”

Broker Garett Engel in Morgan Stanley Firm Has Customer Complaint

December 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 05, 2025.

Claimant alleges violations of Reg BI and misrepresentation regarding a covered call options strategy implemented resulting in significant losses – May 2025 to July 2025.

There are Recent Customer Complaints with Broker Connor Green in Firm Joseph Gunnar & CO. LLC

December 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Connor Green (Green), currently associated with Joseph Gunnar & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Green 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 $10,000.00 on October 30, 2025.

Upon receipt of a routine activity letter, the client emailed the subject RR stating that he is &quot;not willing to sign any documents and requested an explanation for the frequent trading and fees.&quot; A few days later, the client requested a &quot;refund of all previously charged commissions exceeding 1%&quot;.

There are Recent Customer Complaints with Broker Anna Lucas in Firm Thrivent Investment Management INC.

December 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anna Lucas (Lucas), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Lucas 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 $7,342.52 on October 29, 2025.

Customer alleged the Variable Universal Life (VUL) contract issued in August 2022 was not suitable.