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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.

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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.

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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

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Smith (Smith), previously associated with Transamerica Financial Advisors, Inc, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Smith 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 $72,000.00 on March 22, 2022.

Claimants allege that representative approached her them about the potential to invest in a crypto deal. Claimants invested $77000 and was supposed to receive her funds back from rep by Feb 22, 2021. Claimants have only been able to retrieve $5,000 of their funds back from the representative.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Robertazzi (Robertazzi), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Robertazzi 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 $6,000.00 on March 19, 2022.

The customer alleges misrepresentation and omission of material facts regarding a preferred stock purchase in January of  2022. The customer also alleges that the advisor did not have his best interest when recommending the preferred stocks.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Thomas (Thomas), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thomas 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 $14,000.00 on March 21, 2022.

Claimant alleges they were recommended unsuitable investments.

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

FINRA BrokerCheck shows a pending customer complaint on March 21, 2022.

Claimant alleges misrepresentation and suitability regarding offshore annuity investment. Activity dates 08.08.07 – 05.05.17.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Divirgilio (Divirgilio), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Divirgilio 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 $14,000.00 on March 21, 2022.

Claimant alleges they were recommended unsuitable investments.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Peter Malone (Malone), currently associated with Spartan Capital Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Malone  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,303,704.71 on March 21, 2022.

Churning, excessive commissions, unauthorized trading, unsuitability, negligence, breach of contract, fraud

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