Securities Lawyers Blog

Broker Igor Harlap in UBS Financial Services INC. Firm Has Customer Complaint

March 4, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Igor Harlap (Harlap), currently employed by UBS Financial Services INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Harlap’s most recent customer complaint alleges that Harlap recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint on December 30, 2025.

Allegations as stated by Claimant (include time frame of the alleged activity): 2025\, Time frame: Claimants allege their financial advisor improperly recommended a concentrated position in structured notes and alternative investments.

Broker Edward Fernandez in Capulent LLC Firm Has Customer Complaint

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Fernandez (Fernandez), currently associated with Capulent LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fernandez 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 $425,000.00 on December 29, 2025.

Claimants allege that a $371,290 investment in a Versity sponsored DST was unsuitable for them based on their investment objectives and risk tolerances.

Broker William Candler in Jcc Capital Markets, LLC / Cabin Securities, INC. Firm Has Customer Complaint

March 4, 2026 | by Staff Attorney

Currently financial advisor William Candler (Candler), currently employed by brokerage firm Jcc Capital Markets, LLC / Cabin Securities, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,400,000.00 on December 30, 2025.

Candler was the named respondent of the customer complaint regarding a reg D private placement. The complaint alleges the following causes of action; fraud, misrepresentation, omissions of material facts, unsuitable recommendations, breech of contract, and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Genevieve Mar in Firm Berthel, Fisher & Company Financial Services, INC.

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Genevieve Mar (Mar), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mar 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 23, 2025.

The claimants allege the investments they purchased from 2011-2016 were not suitable and were misrepresented to them.

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

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lynn Nicolaysen (Nicolaysen), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Nicolaysen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 30, 2025.

The clients alleged they did not authorize the liquidation of their account in October 2025.

There are Recent Customer Complaints with Broker Marco Azizi in Firm Centaurus Financial, INC.

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marco Azizi (Azizi), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Azizi 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 $65,000.00 on December 30, 2025.

The customers allege that on November 01, 2020, the Registered Representative recommended an unsuitable, high-risk, illiquid investment.

There are Recent Customer Complaints with Broker Edward Morrissey in Firm Hornor, Townsend & Kent, LLC

March 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 30, 2025.

Customers allege misrepresentations and failure to exercise reasonable care regarding indexed universal life insurance policy in late 2020 or early 2021.

There are Recent Customer Complaints with Broker Bruce Beetz in Firm Emerson Equity LLC

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Beetz (Beetz), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beetz 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 $1,862,532.05 on December 23, 2025.

Unsuitable recommendations trades placed between 2018 and 2019

There are Recent Customer Complaints with Broker Scot Barringer in Firm American Trust Investment Services, INC.

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scot Barringer (Barringer), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barringer 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 $99,000.00 on December 30, 2025.

From April 2017 to November 2018 the customer alleges that their investment in GWG L Bonds was unsuitable for their investment profile and that material risks were misrepresented or omitted, resulting in losses following GWG\\u2019s bankruptcy. The arbitration is pending and will be updated as required.

There are Recent Customer Complaints with Broker Francis Zoracki in Firm Cambridge Investment Research, INC.

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Zoracki (Zoracki), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Zoracki 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 $250,000.00 on December 23, 2025.

Client’s allege the RR recommended an investment that was unsuitable given their stated financial profile. Additionally, clients allege unauthorized trading occurred.