Securities Lawyers Blog

There are Recent Customer Complaints with Broker Michael Regan in Firm Morgan Stanley

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Regan (Regan), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Regan 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 $2,497,430.74 on December 09, 2025.

Claimants allege, inter alia, unsuitability with respect to account management and investments from Jan 2018 to October 2025.

Broker Stephen White in Rockefeller Financial LLC Firm Has Customer Complaint

February 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 10, 2025.

Time Frame: November 1st, 2019 to October 11th, 2021\, \, What were the allegations against the individual \\u2013 The client\\u2019s attorney alleges financial advisor did not act in the client\\u2019s best interest, unsuitable recommendations and made various misrepresentations. The client\\u2019s attorney further alleges that the financial advisor failed to disclose outside business activities within the meeting of FINRA Rules.\,

There are Recent Customer Complaints with Broker Bruce Feldman in Firm Nylife Securities LLC

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Feldman (Feldman), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Feldman 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 $12,000.00 on December 05, 2025.

Customer alleges he was not informed of the fluctuating internal charges and a significant risk of lapse when he purchased a variable universal life policy in May 2022.

There are Recent Customer Complaints with Broker Matthew Augugliaro in Firm Allstate Financial Services, LLC

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Augugliaro (Augugliaro), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Augugliaro 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 $195,050.05 on December 10, 2025.

This is a second complaint received 12/10/2025 originating from the same matter received 11/14/2025 in which the firm denied the first complaint on 12/5/2025. This second complaint from the customer requests a full rescission of her variable annuity with a return of the premium without surrender charges due to allegations of falsification of books and records and potential fraudulent misrepresentation or omission of financial suitability information.

There are Recent Customer Complaints with Broker Connie Gambatese in Firm Wells Fargo Clearing Services, LLC

February 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 09, 2025.

The client complains that the Financial Advisor failed to provide suitable advice in line with the objective of capital preservation related to liquidation of the portfolio. (1/9/2025 – 3/11/2025)

Broker Lori Iaquinta in Morgan Stanley Firm Has Customer Complaint

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lori Iaquinta (Iaquinta), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Iaquinta 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 $4,000,000.00 on December 05, 2025.

Client alleged , inter alia, misrepresentation with respect to the rate that they would be charged on their managed account 2020-2025

Broker Erick Kuebler in Sanders Morris LLC Firm Has Customer Complaint

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erick Kuebler (Kuebler), currently associated with Sanders Morris LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kuebler 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 $5,000.00 on December 09, 2025.

In December 2024, Sanders Morris acted solely in a limited agent/execution only capacity in connection with a private bond offering. Sanders Morris was not the issuer, underwriter, or seller of the securities.

Broker Walter Nagle in Ausdal Financial Partners, INC. Firm Has Customer Complaint

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Nagle (Nagle), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nagle 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 $50,000.00 on December 08, 2025.

Breach of Contract; Violation of Federal Securities Laws; Violation of IL Securities Law; Violation of IL Consumer Fraud and Deceptive Business Practices Act; Common Law Fraud

There are Recent Customer Complaints with Broker Tamara Huey in Firm Ameriprise Financial Services, LLC

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tamara Huey (Huey), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huey 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 $99,000.00 on December 09, 2025.

Claimant alleges an unsuitable investment was recommended by Advisor.

Broker Richard Carlesco in Cambridge Investment Research, INC. / IBN Financial Services, INC. Firm Has Customer Complaint

February 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $96,000.00 on December 08, 2025.

Claimant, who has been a registered representative for decades, allegedly purchased a convertible note in November 2019 after a discussion with another registered representative. Claimant alleges that the other RR was selling away from his firm and that he was not an accredited investor for purposes of the investment.