Securities Lawyers Blog

There are Recent Customer Complaints with Broker Scott Wick in Firm RBC Capital Markets, LLC

March 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 12, 2021.

Client cites failure to supervise client’s financial advisor, which she alleges did not complete changes she authorized in an email to her financial advisor in February 2020. Client requests that her accounts be restored to their January 2, 2020 values.

There are Recent Customer Complaints with Broker Andrew Lewis in Firm Sanctuary Securities, INC.

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Lewis (Lewis), previously associated with Sanctuary Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lewis 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 $763,322.10 on February 12, 2021.

Representative was named in a customer complaint that asserted the following causes of action: fraud and negligent misrepresentation.

There are Recent Customer Complaints with Broker Howard Romero in Firm LPL Financial LLC

March 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 10, 2021.

Customer alleges that she did not authorize the sale of apple shares on April 2, 2020, and that other investments were unsuitable. Customer seeks return of mismanaged funds. Activity dates: 4/2/20 to 1/18/21.

Broker James Pucciarelli in Morgan Stanley Firm Has Customer Complaint

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pucciarelli (Pucciarelli), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pucciarelli 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 $200,000.00 on February 11, 2021.

Claimant alleges, inter alia, unsuitability with respect to equity investment – Aug 2015 to Jul 2020

There are Recent Customer Complaints with Broker William Slattery in Firm Cetera Wealth Services, LLC

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Slattery (Slattery), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Slattery 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 $65,000.00 on February 16, 2021.

Claimants allege their registered representative recommended unsuitable and illiquid alternative investments.

Broker Leo Michael Dinolfo in Kraken Securities Firm Has Customer Complaint

March 7, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Leo Michael Dinolfo (Dinolfo) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Dinolfo was employed by Kraken Securities at the time of the activity. If you have been a victim of Dinolfo’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,655,667.00 on June 29, 2023.

In October of 2021, the Plaintiffs were involved in a loss of investment. The investment opportunity involved an algorithm that traded foreign exchange currency pairs. I was involved on this investment opportunity as an investor, and on the suggestion of my mentor at the time. My previous mentor is also named as one of the defendants in this case. The Plaintiffs in this case are family members or family friends of mine. In the year 2023, the Plaintiffs filed a lawsuit in the city of Toronto against myself, Leo-Michael Dinolfo, and multiple other defendants. The Plaintiffs alleged the following against the defendants: fraud, fraudulent and negligent misrepresentation, breach of trust, breach of fiduciary duty, misappropriation and conversion, conspiracy to injure, breach of contract, negligence and unjust enrichment. The case is still currently pending as of February 21, 2025. To date, not all defendants have been served by the Plaintiffs. Further, no discovery has taken place, nor has it been scheduled. The Plaintiffs have additionally missed a number of procedural timelines. I, Leo-Michael Dinolfo, am actively contesting said allegations, deny any wrongdoing, and have not admitted any liability in relation to the litigation. I have provided the Plaintiffs’ with my Notice of Defence and Statement of Defence. There has yet to be any real progress on this case, and it has been referred to case management that has yet to occur.

There are Recent Customer Complaints with Broker Richard Jones in Firm Nylife Securities LLC

March 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Jones (Jones), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $20,221.67 on February 16, 2021.

Customer alleges that he proceeded with the purchase of a Variable Annuity in February 2015 with the understanding that his rate of return would be a minimum of 4% and that the tax consequences of any withdrawals or reallocation into a bond portfolio were not explained. Customer has requested a refund of his money without penalty.Customer has reiterated his complaint on 2/16/2021 and alleged that he was sold the wrong product.

Broker Eric James in Newbridge Securities Corporation Firm Has Customer Complaint

March 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric James (James), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that James 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, 2021.

Suitability

Broker Robert Farrar in PFS Investments INC. Firm Has Customer Complaint

March 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Farrar (Farrar), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Farrar 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 $30,434.47 on August 17, 2022.

Customer alleges that I recommended Inappropriate funds for his investment objectives, causing him to suffer losses.

There are Recent Customer Complaints with Broker Juan Uribe in Firm PFS Investments INC.

March 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 13, 2025.

The customer alleged trade instructions were not timely submitted causing lost investment opportunity.