Securities Lawyers Blog

There are Recent Customer Complaints with Broker Maria Gasparro in Firm UBS Financial Services INC.

October 19, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Maria Gasparro (Gasparro) 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 Gasparro was employed by UBS Financial Services INC. at the time of the activity. If you have been a victim of Gasparro’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on January 23, 2023.

Client alleges misappropriation of funds from January 2019 through May 2019.

There are Recent Customer Complaints with Broker Robert Alvarez in Firm Primus Financial Services, LLC

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Alvarez (Alvarez), currently associated with Primus Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alvarez 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 $500,000.00 on April 17, 2023.

BREACH OF CONTRACT AND WARRANTIES, VIOLATION OF STATE SECURITIES STATUTES, VICARIOUS LIABILITY

Broker Jim Ayers in Silver Oak Securities, Incorporated Firm Has Customer Complaint

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jim Ayers (Ayers), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ayers 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 $55,000.00 on January 23, 2023.

Client alleges registered representative recommended an unsuitable investment.

Broker Gary Hughes in Concorde Investment Services, LLC Firm Has Customer Complaint

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Hughes (Hughes), previously associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hughes 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 $150,000.00 on April 05, 2023.

Claim alleges unsuitable recommendations, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty, negligence, violation of California Securities Act, and elder abuse in relation to investment made in February of 2020.

There are Recent Customer Complaints with Broker Loren Olson in Firm B.b. Graham & Company, INC.

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Loren Olson (Olson), previously associated with B.b. Graham & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Olson 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 $121,000.00 on January 23, 2023.

Client dispute alleging product not appropriate. Date of activity leading to allegation: 09/1/2020

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

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Nash (Nash), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nash 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 $216,208.00 on April 18, 2023.

New Jersey client alleges their former financial advisor recommended unsuitable and excessive transactions in unspecified fixed income securities between 2018 and\, 2022 resulting in a loss.

There are Recent Customer Complaints with Broker Stanley Kaplan in Firm Sw Financial

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Kaplan (Kaplan), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan 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 $225,000.00 on January 23, 2023.

Unsuitability, excessive commissions, negligence, breach of fiduciary duty

Broker Alexander Parisis in J.P. Morgan Securities LLC Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Parisis (Parisis), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Parisis 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 $40,965.00 on April 18, 2023.

Customer alleges unsuitable recommendation regarding managed account investment. Activity dates 8.26.21 to 8.26.21.

There are Recent Customer Complaints with Broker John Savini in Firm Nylife Securities LLC

October 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 19, 2023.

Customer alleges he was misled into rolling over his deferred compensation plan into a variable annuity in October 2022. Customer further alleges that the recommended VA now precludes him from withdrawing his money without surrender charges. Customer requests waiving the surrender charges so that he can move his assets.

Broker Raymond Pena in Bbva Securities INC. Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Pena (Pena), previously associated with Bbva Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Pena 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 $1,000,000.00 on April 20, 2023.

Claimant inherited her father’s self-directed brokerage account. In 2015, claimant moved account to firm and pledged the assets to secure a line of credit with firm’s former affiliate bank. Said line of credit was in the name of claimant and her husband (who she has since divorced). Brokerage account was claimant’s sole property under Texas law. Claimant asserts that firm breached its fiduciary duty and failed to make suitable recommendations in allowing claimant to pledge her sole property assets against the joint debt and by allowing her to make equity investments in a self-directed account.