Securities Lawyers Blog

There are Recent Customer Complaints with Broker David Wolfe in Firm Hamilton Grant LLC

August 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on July 05, 2024.

Respondent Wolfe failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Justin Proudfoot in Firm Vanguard Marketing Corporation

August 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 27, 2024.

Client alleges that trades were made on his account without his authorization. Activity occured on November 24, 2024.

Broker Winston Felix in Edward Jones Firm Has Customer Complaint

August 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 30, 2025.

Unsuitable recommendation to client to effectuate securities transactions for tax-loss harvesting purposes.

There are Recent Customer Complaints with Broker Cole Brownell in Firm Signature Estate Securities, LLC

August 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cole Brownell (Brownell), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brownell 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 $7,500.00 on January 03, 2025.

Former client alleges inappropriate investment advice relating to the purchase of an semi-illiquid security.

There are Recent Customer Complaints with Broker Kultar Bindra in Firm LPL Financial LLC

August 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 05, 2025.

Clients allege they informed FA they would need invested funds in 2025, and believed they were purchasing a product which would mature as expected in 2025. In March 2025, clients indicated they learned investment did not mature until 2029 which they allege was not disclosed.

Broker Gerald Scott in Raymond James (usa) Ltd. Firm Has Customer Complaint

August 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Scott (Scott), currently associated with Raymond James (usa) Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Scott 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 $113,042.59 on December 27, 2024.

Client requested refund of difference between interest paid on margin loan and securities-based line of credit he should have received.

There are Recent Customer Complaints with Broker Jaime Sanchez Rivera in Firm First Southern Securities, LLC.

August 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jaime Sanchez Rivera (Sanchez Rivera), previously associated with First Southern Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Sanchez Rivera 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 $250,000.00 on December 02, 2024.

The Broker falsified documents that he provided the customer reflecting he had ownership in a fund. This was to make up for losses he occured at the brokers prior firm.

Broker Chi Mak in Td Private Client Wealth LLC Firm Has Customer Complaint

August 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chi Mak (Mak), currently associated with Td Private Client Wealth LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mak 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 $200,000.00 on December 06, 2024.

Respondents took advantage of Claimant’s lack of sophistication and understanding, and sold Claimant high-commission, complex, long-term, and risky alternative investments.

Broker Amy Zwaan in Alexander Capital, L.p. Firm Has Customer Complaint

August 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amy Zwaan (Zwaan), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Zwaan 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 $80,000.00 on February 11, 2025.

Customer alleges misrepresentation and mishandling of an annuity and the expected income. Unknown time frame.

Broker Jon Heischman in Independence Capital Co., INC. Firm Has Customer Complaint

August 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Heischman (Heischman), currently associated with Independence Capital Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Heischman 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 February 05, 2025.

Ivestment was not suitable