Securities Lawyers Blog

Broker Enrique Vila in Bulltick, LLC Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 18, 2025.

Client alleges, inter alia, falure to follow instructions with respect to purchases of latam airlines shares in 2022

Broker Tony Barouti in Emerson Equity LLC Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 23, 2025.

Violations of federal securities laws; violations of California Securities Laws; California Unfair, Unlawful and fraudulent business practices; breach of contract; common law fraud; breach of fiduciary duty; negligence and gross negligence, investments purchases between 10/2021 and 11/2021

Broker Kenneth Mccabe in Centaurus Financial, INC. Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 22, 2025.

The customer alleges that on July 12, 2021, the Registered Representative recommended an unsuitable, high-risk, illiquid investment.

Broker Nicholas Stafford in Arkadios Capital Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 19, 2025.

Suitability

There are Recent Customer Complaints with Broker William Courtwright in Firm Ameriprise Financial Services, LLC

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Courtwright (Courtwright), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Courtwright 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 $197,292.82 on December 19, 2025.

The client alleged that the investment strategy recommended by the advisor between 2020 and 2025 constituted poor advice.

There are Recent Customer Complaints with Broker Jim Scala in Firm PHX Financial, INC.

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jim Scala (Scala), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Scala 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 $1,180,000.00 on December 18, 2025.

The Estate of the Client allege regulation best interest violations took place during the tenure of the account between June 2020 through December 2022.

There are Recent Customer Complaints with Broker Craig Skop in Firm Thinkequity LLC

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Skop (Skop), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Skop 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 $215,990.00 on December 22, 2025.

Claimant, an extremely sophisiticated, experienced, high net worth investor alleges an unsuitable investment.

Broker Jason Pitts in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Pitts (Pitts), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pitts 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 $900,000.00 on December 22, 2025.

Client alleges the financial professional misrepresented an unsuitable variable annuity contract.

Broker Donna Desanctis in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Desanctis (Desanctis), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Desanctis 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 $16,549.14 on December 19, 2025.

The client alleged that the rider fees for his RiverSource variable annuities were misrepresented over the last 10 years and unsuitable for a senior investor.

There are Recent Customer Complaints with Broker Stephen Hlibok in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Hlibok (Hlibok), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hlibok 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 $500,000.00 on December 22, 2025.

The client’s attorney alleges unauthorized trading.