Securities Lawyers Blog

Broker James Defano in LPL Enterprise, LLC Firm Has Customer Complaint

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Defano (Defano), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Defano 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 $9,662.00 on April 27, 2022.

Client was mislead about the dollar amount of the premium payments and customer is also alleging failure to disclose charges, expenses and fees.

There are Recent Customer Complaints with Broker Mary Wilcox in Firm J.w. Cole Financial, INC.

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Wilcox (Wilcox), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilcox 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 $25,000.00 on April 28, 2022.

Customer alleges that the oil and gas limited partnership purchased was not researched and vetted before allowing to be sold by representative therefore contributing to loss of principal invested.

Broker Steven Farr in Edward Jones Firm Has Customer Complaint

November 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 28, 2022.

The client alleges that he instructed the financial advisor to invest his funds on March 12, 2020 and they were not invested until May 29, 2020.

There are Recent Customer Complaints with Broker John Hinck in Firm Centaurus Financial, INC.

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hinck (Hinck), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hinck 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 $80,000.00 on April 25, 2022.

During the period February 2008 through September 2014, the customer alleges that the Registered Representative recommended illiquid, unsuitable investments and breached his fiduciary duty.

There are Recent Customer Complaints with Broker Vincent Foster in Firm Mutual Securities, INC.

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Foster (Foster), currently associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Foster 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 $122,497.33 on April 25, 2022.

Client alleges that the strategy used to withdraw funds from client’s annuity has caused client to miss out on specific benefits of the annuity.

Broker William Haese in Superior Financial Services, inc. Firm Has Customer Complaint

November 28, 2025 | by Staff Attorney

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

Customer purchased bonds through an investment advisory firm and a dually registered representative that is associated with Superior Financial Services, Inc.

Broker Nicholas Keeling in Planmember Securities Corporation Firm Has Customer Complaint

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Keeling (Keeling), previously associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Keeling 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 $13,285.00 on April 27, 2022.

Client alleged that advice provided by the representative resulted in an undiscussed capital gains impact on their taxes.

Broker Elijah Goble in Citigroup Global Markets INC. Firm Has Customer Complaint

November 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 28, 2022.

CLIENT COMPLAINED ABOUT COUPON BARRIER NOTE, ALLEGED THAT HE WANTED HIS FUNDS INVESTED CONSERVATIVELY AND BELIEVED THE MOST HE COULD LOSE WAS 30%, BUT REGISTERED REPRESENTATIVE SOLD HIM SOMETHING THAT WAS “EXTREMELY HIGH RISK,” AND HIS $40K INVESTMENT AT ONE POINT DROPPED TO $7K. OCCURRENCE DATES: 7/26/2021-4/28/2022. SETTLEMENT AMOUNT: $20,236

There are Recent Customer Complaints with Broker Stephen Presutti in Firm Nylife Securities LLC

November 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Presutti (Presutti), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Presutti 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 $5,066.00 on April 28, 2022.

Customer alleges she was not informed that she would enter a new surrender charge period when she purchased this annuity in or around December 2016. Customer requests access to her full investment without incurring surrender charges.

There are Recent Customer Complaints with Broker Brian Visconti in Firm the Jeffrey Matthews Financial Group, L.l.c.

November 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Visconti (Visconti), currently associated with the Jeffrey Matthews Financial Group, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Visconti 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 29, 2022.

FA improperly recommended investing in only a handful of technology sector equities.