Securities Lawyers Blog

Broker Kevin O’sullivan in Dfpg Investments, LLC Firm Has Customer Complaint

June 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin O’sullivan (O’sullivan), currently associated with Dfpg Investments, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that O’sullivan 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 $300,000.00 on September 19, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Jason D’amelio in the Strategic Financial Alliance, INC. Firm Has Customer Complaint

June 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2024.

The customer alleges that an investment made in 2014 was inappropriate for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Catherine Clark in Firm Vanguard Marketing Corporation

June 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 08, 2025.

Clients allege the advisor failed to adequately disclose or set expectations related to the potential impact of realized capital gains and further alleges that securities were sold from the account without the client’s authorization.

There are Recent Customer Complaints with Broker Anthony D’ascoli in Firm Oppenheimer & CO. INC.

June 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony D’ascoli (D’ascoli), currently associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that D’ascoli 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 $850,000.00 on January 22, 2026.

Claimant alleges he suffered losses due to his investment in two fixed income funds, and alleges claims for negligence, breach of contract, breach of fiduciary duty and violations of federal and FINRA regulations. 2013 – 2024

Broker Megurditch Patatian in Supreme Alliance LLC Firm Has Customer Complaint

June 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 23, 2026.

Customer state representative recommended investments in REITS between April 2013 and March 2017 that resulted in financial losses.

Broker Curtis Luckman in Osaic Wealth, INC. Firm Has Customer Complaint

June 19, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Curtis Luckman (Luckman) 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 Luckman was employed by Osaic Wealth, INC. at the time of the activity. If you have been a victim of Luckman’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 $5,000.00 on January 28, 2026.

Claimants allege that since at least 2012 financial professional unlawfully solicited investments in promissory notes sold by two private investment funds, the Income Advantage Fund LLC I and Income Advantage Fund LLC II, both of which he is alleged to have fraudulently managed and used to misappropriate investor funds.

Broker Mark D’ercole in Portsmouth Financial Services Firm Has Customer Complaint

June 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark D’ercole (D’ercole), previously associated with Portsmouth Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that D’ercole 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 $590,000.00 on July 08, 2024.

The firm, Portsmouth Financial Services, was named as the respondent. Statement of claim cites that respondent failed to conduct reasonable due diligence, misrepresentation of facts, false statements and failure to supervise. Claims against rep include unsuitable investment recommendation.

There are Recent Customer Complaints with Broker Gary Yontz in Firm Osaic Wealth, INC.

June 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Yontz (Yontz), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Yontz 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 $5,000.00 on January 23, 2026.

Customer alleges unauthorized trading of Church & Dwight Inc common stock by the financial professionals between 2017 and 2018.

There are Recent Customer Complaints with Broker Joyce Bloch in Firm Ameriprise Financial Services, LLC

June 19, 2026 | by Staff Attorney

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

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

Claimant alleges representative recommended unsuitable investment of a fixed annuity.

Broker Harry Beadell in Davenport & Company LLC Firm Has Customer Complaint

June 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 17, 2025.

In December 2024, client requested funds be raised in a tax efficient manner in multiple accounts to cover the tax liability associated with a September 2024 ROTH IRA conversion. In December 2025, client expressed orally that he was upset with the capital gains incurred related to the raising of funds in 2024.