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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Daniels (Daniels), previously associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Daniels 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 June 10, 2025.

Client alleges poor account performance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Stapleton (Stapleton), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stapleton 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 $200,000.00 on June 09, 2025.

Unsuitable trading activity, unauthorized transactions, and excessive commissions

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Amato (Amato), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Amato 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 $499,000.99 on June 10, 2025.

Allegations include; breach of fiduciary duties; failure to supervise; negligence and gross negligence; violation of FINRA Rules, violation of the federal securities laws, and violation of the Best Interest Obligations (Reg BI).\, December 2018 & May 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Widman (Widman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Widman 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 $15,000.00 on June 07, 2025.

Customer’s POA alleges that licensed admin accepted excessive payment for outside business activity.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Richard Ceffalio (Ceffalio) 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 Ceffalio was employed by LPL Financial LLC at the time of the activity.  If you have been a victim of Ceffalio’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 $3,000,000.00 on June 09, 2025.

Claimant alleges selling away, unauthorized, improper transfers, improper borrowing, breach of fiduciary duty, breach of duty of good faith and fair dealing, negligence and gross negligence, breach of the Illinois Negligent misrepresentation in connection with investments made. Activity period April 2020 through June of 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rocco Guidicipietro (Guidicipietro), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Guidicipietro 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 $499,000.99 on June 10, 2025.

Allegations include; breach of fiduciary duties; failure to supervise; negligence and gross negligence; violation of FINRA Rules, violation of the federal securities laws, and violation of the Best Interest Obligations (Reg BI).\, December 2018 & May 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Murray (Murray), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Murray 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 $4,000,000.00 on June 06, 2025.

Client alleges, inter alia, that he was taken advantage of by how his account was managed  2008-2009

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Currently financial advisor Stephen Mattocks (Mattocks), currently employed by brokerage firm Osaic Wealth, 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 $118,679.00 on June 10, 2025.

Customers alleges that 2019 recommendations to purchase various REITs were unsuitable and constituted poor advice.

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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 3 disclosable events. These events include one customer complaint, 2 regulatory events, 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 on June 10, 2025.

Customer Alleges Breach of contract and warranties, promissory estoppel, violation of fraud and estate securities statutes and the deceptive trade practices act, intentional and negligent misrepresentations of material fact and statutes and the deceptive trade practices act, intentional and negligent misrepresentations of material fact and vicarious liability in conjunction with their purchase of GWG.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fariba Madison (Madison), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madison 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 $358,000.00 on June 09, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

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