Securities Lawyers Blog

There are Recent Customer Complaints with Broker George Nikolakakos in Firm Td Ameritrade, INC.

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Nikolakakos (Nikolakakos), previously associated with Td Ameritrade, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nikolakakos 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 $543,163.00 on June 26, 2020.

Allege that between 2014-2017, reps provided unsuitable recommendations with unsuitable concentrations, with unreasonable commissions and failure to konw their customer

Broker Andrew Perri in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Perri (Perri), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Perri recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 22, 2020.

The client alleges the investments he purchased in 2015 were unsuitable and misrepresented to him by the representative. The client also alleges the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

Broker Paul Antevy in Fmsbonds, INC. Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Antevy (Antevy), currently associated with Fmsbonds, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Antevy 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 June 23, 2020.

Claim alleges that the broker ‘mislead and enticed’ customer into investing in low rated junk bonds.

Broker Robert Skinner in First Republic Securities Company, LLC Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Skinner (Skinner), previously associated with First Republic Securities Company, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Skinner 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 $5,000,000.01 on June 22, 2020.

For the period August 2014 to May 2019, client alleges, inter alia, that the registered representative recommended unsuitable positions in violation of FINRA rules.

There are Recent Customer Complaints with Broker Barry Horowitz in Firm Lincoln Financial Securities Corporation

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Horowitz (Horowitz), previously associated with Lincoln Financial Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Horowitz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 23, 2020.

Claimants allege that former LFS Registered Representative Barry Horowitz improperly referred Claimants to an individual who was a known fraudster and who solicited Claimants into purchasing a promissory note. Claimants allege total damages in excess of $999,999.

Broker Robert Nagy in Ameriprise Financial Services, LLC Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Nagy (Nagy), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nagy 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 $15,153.91 on June 23, 2020.

Client alleges that the Municipal Securities mutual fund that he purchased was not suitable for him based on his risk tolerance. Purchase date August 2019; resolution date July 2020.

Broker Phillip Smelser in Cambridge Investment Research, INC. Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Smelser (Smelser), currently associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Smelser 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 $600,000.00 on June 29, 2020.

SOC alleges the sale of unsuitable investments, misrepresentation and other sales practice violations.

Broker Kenneth Barroga in Crown Capital Securities, L.p. Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Barroga (Barroga), previously associated with Crown Capital Securities, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Barroga 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 $180,000.00 on June 22, 2020.

The customer alleges lack of suitability, breach of fiduciary duty, misrepresentation and omissions of material facts and lack of due diligence in connection with transactions in alternative investment products.

Broker Jack Owens in Gradient Securities, LLC Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Owens (Owens), previously associated with Gradient Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Owens 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 $100,000.00 on June 22, 2020.

Representative is party to this arbitration which claims firm breach of fiduciary duty as it relates to the supervision of annuity transactions.

Broker Eric Coffman in Valmark Securities, INC. Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Coffman (Coffman), currently associated with Valmark Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Coffman 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 $17,790.52 on June 26, 2020.

Client alleges that in 2019 instructions to stop automatic income distributions set up on her account were not executed and as a result suffered losses in the form of extra taxes owed and additional Medicare expenses in 2021 from inflated 2019 income.