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

FINRA BrokerCheck shows a settled customer complaint on April 25, 2022.

Customer’s attorney alleges that his client was misled when he purchased a variable annuity in January 2018. Customer has requested to terminate the annuity without incurring a surrender fee.

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

FINRA BrokerCheck shows a settled customer complaint on April 27, 2022.

Customer alleges that in January 2016 and February 2016, she was misled regarding surrender charges when she purchased 2 variable annuities. She also alleges that she incurred a tax liability as a result of the recommendation to make changes to her mutual funds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Stahl (Stahl), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stahl 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 $90,000.00 on April 25, 2022.

The Claimant alleges, in 2008, her advisors sold her an unsuitable variable universal life insurance policy. She further alleges that her advisors did not properly disclose the cost and fees of the product.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Giovannelli (Giovannelli), previously 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 Giovannelli  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 $20,609.34 on April 22, 2022.

Giovanelli was named in a customer complaint that asserted the following causes of action: churning for commissions and quantitative unsuitability (Fraud) Rules 2111 and Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5; unauthorized transactions (Rule 2010); qualitative and quantitative unsuitability (Rule 2111); failure to supervise and negligent supervision (Rule 3010); control person liability; breach of fiduciary contract and implied covenant of good faith and fair dealing; negligent misrepresentation and omissions; standards of commercial honor and principles of trade (Rule 2010).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Kunz (Kunz), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kunz 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 April 22, 2022.

Client alleged unauthorized trading. Allegation Activity Dates: 2/6/2020 – 4/22/2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Theis (Theis), currently associated with Superior Financial Services, inc., has at least one disclosable event. These events include one customer complaint, alleging that Theis 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 $431,011.89 on April 22, 2022.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI).  Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts.

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

FINRA BrokerCheck shows a settled customer complaint on April 22, 2022.

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

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Covington (Covington), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Covington 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 $12,256.00 on April 27, 2022.

?The client alleges the representative recommended an investment strategy that was not in her best interest, which created an unexpected tax liability of $12,256.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Sinnott (Sinnott), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Sinnott 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 $12,256.00 on April 27, 2022.

The client alleges the representative recommended an investment strategy that was not in her best interest, which created an unexpected tax liability of $12,256.00.

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,800,000.00 on April 25, 2022.

Suitability, churning, beach of fiduciary duty.

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