Securities Lawyers Blog

There are Recent Customer Complaints with Broker Ronald Weatherly in Firm LPL Financial LLC

December 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Weatherly (Weatherly), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weatherly 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 $157,000.00 on March 11, 2022.

Upon the death of a joint owner the annuity contract was liquidated and distributed to the named beneficiaries. [REDACTED] contends he was the surviving joint owner and should have retained control of the annuity assets. \<char_lb_r>\, \<char_lb_r>\, Contract opened January 2017. Joint owner passed away in early 2021. Surviving joint owner called asking about contract balance and beneficiary listing 2/8/2021 and 2/9/2021.

There are Recent Customer Complaints with Broker Nicholas Photiadis in Firm LPL Financial LLC

December 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Photiadis (Photiadis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Photiadis 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 $99,999.99 on March 09, 2022.

Claimant alleges that his beneficial share of funds from a friend’s account were less than they should have been due to representative’s recommendation that his friend invest in alternative investments which were allegedly unsuitable for the friend’s investment objectives. Activity period 2011-2019.

Broker Thomas Krueger in Edward Jones Firm Has Customer Complaint

December 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 17, 2022.

Client alleges financial advisor failed to explain the potential tax consequences associated with a mutual fund exchange.

Broker Joseph Slechta in Citigroup Global Markets INC. Firm Has Customer Complaint

December 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Slechta (Slechta), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Slechta 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 $7,530,287.37 on March 14, 2022.

Joseph Slechta was a subject of the customer’s complaint against his member firm and other named respondents that asserted the following causes of action: breach of Illinois common law fiduciary duty, failure to supervise, and violation of FINRA Rules.

There are Recent Customer Complaints with Broker Jaime Santiago Echandi in Firm First Southern, LLC

December 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 10, 2022.

Client alleges Overconcentration, unsuitability, breach of fiduciary duty, violations of securities laws and rules, breach of contract, negligence, fraud, false inducement to inaction, failure to supervise (Puerto Rico bonds, open-end funds and closed-end funds). Includes request for rescission, punitive damages, interest, costs, fees.

Broker Manuel Gonzalez Hinds in First Southern, LLC Firm Has Customer Complaint

December 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 10, 2022.

Client alleges over-concentration, unsuitability, breach of fiduciary duty, violations of securities laws and rules, breach of contract, negligence, fraud, false inducement to inaction, failure to supervise (Puerto Rico bonds, open-end funds and closed-end funds). Includes request for rescission, punitive damages, interest, costs, fees.

Broker Jeffrey Pridey in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

December 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Pridey (Pridey), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pridey 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 $136,000.00 on March 10, 2022.

The client alleges in 2015 the representative improperly recommended the client invest in a high commission illiquid alternative investment which they allege was misrepresented to them by the representative and was unsuitable for his risk tolerance and investment objectives. The client further alleges the firm failed to supervise the activities of the representative and failed to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Philip Pluta in Firm J.P. Morgan Securities LLC

December 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Pluta (Pluta), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pluta 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 $3,000,000.00 on March 14, 2022.

Claimants allege unsuitable investment strategy. Activity dates 6/20 – present.

Broker Noel Vincent in Ele Wealth Advisors, INC. Firm Has Customer Complaint

December 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Noel Vincent (Vincent), previously associated with Ele Wealth Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vincent 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 $100,000.00 on March 10, 2022.

Claimants allege unsuitable recommendations of alternative investments

Reflection on My Appearance on The Lead with Jake Tapper

December 3, 2025 | by Staff Attorney

Gana Weinstein’s managing partner, Adam Gana, recently joined Jake Tapper on The Lead with Jake Tapper, discussing the commutation by Donald Trump of the sentence of David Gentile, former CEO of GPB Capital. Gana Weinstein has represented dozens of victims of the GPB fraud, many of whom lost life savings — often hard-earned retirement funds — as a result of the misrepresentations and misconduct at GPB.

Why This Matters for Victims & Investor Protection

On air, Adam underscored that this commutation is not just a legal detail — it has real human consequences. For many of GPB’s investors, the conviction and sentencing of Gentile signified a moment of rare accountability in the white-collar financial space. That accountability offered a measure of justice, a sense that, when victims were harmed at scale, there were consequences. The commutation shakes that foundation.