Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jade Eagles in Firm Tiaa-cref Individual & Institutional Services, LLC

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jade Eagles (Eagles), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Eagles 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 $1,032,000.00 on May 08, 2025.

The claimants alleged fraud, deceit, misrepresentation, omission of material fact, breach of fiduciary duty, breach of contract, negligence, and interference with economic advantage based on alleged failure to supervise oil and gas investments and conflicts of interest with other family members.

There are Recent Customer Complaints with Broker Howard Kavinsky in Firm Supreme Alliance LLC

July 26, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Howard Kavinsky (Kavinsky), previously associated with Supreme Alliance LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Kavinsky 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 $258,677.00 on May 06, 2025.

Unauthorized trading, excessive trading

Broker Matthew Stratman in Western International Securities, INC. Firm Has Customer Complaint

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Stratman (Stratman), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stratman 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 $49,999.00 on May 07, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

Broker Tony Tolene in Infinity Financial Services Firm Has Customer Complaint

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Tolene (Tolene), previously associated with Infinity Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Tolene 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 $100,000.00 on May 02, 2025.

The client alleges the following: ‘Over the course of the past year, Tony Tolene had mismanaged our money as well as my mother’s money. Both of us lost approximately $100,000 each.’

There are Recent Customer Complaints with Broker Eric Pirog in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Pirog (Pirog), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pirog 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 $41,057.00 on May 09, 2025.

The client alleges misrepresentation April 2025.

Broker Vernell Peter Koyi in Vanguard Marketing Corporation Firm Has Customer Complaint

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vernell Peter Koyi (Peter Koyi), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Peter Koyi 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 $360,000.00 on May 08, 2025.

The client alleges that the financial plan offered and implemented by the investment advisor resulted in realized capital gains taxes of over $360,000. The activity occurred in August of 2024.

There are Recent Customer Complaints with Broker Peter Cox in Firm LPL Financial LLC

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Cox (Cox), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 $5,000,000.00 on May 02, 2025.

Customer alleges unauthorized trades in May of 2022.

There are Recent Customer Complaints with Broker Brett Rutherford in Firm Capital Investment Group, INC.

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Rutherford (Rutherford), previously associated with Capital Investment Group, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Rutherford 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 $88,000.00 on May 02, 2025.

Client invested in GWG Holdings L-Bonds. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. No Statement of Claim filed by client or opposing counsel.

There are Recent Customer Complaints with Broker Carl Demarco in Firm Hornor, Townsend & Kent, LLC

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Demarco (Demarco), currently associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Demarco 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 $144,167.45 on May 02, 2025.

The customer alleges that the Financial Professional confirmed the sale of certain positions prior to the actual sale of those positions.

There are Recent Customer Complaints with Broker Todd Osgood in Firm Ameriprise Financial Services, LLC

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Osgood (Osgood), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Osgood 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 $22,000.00 on May 02, 2025.

The client alleged that $150,000 of a First Trust UIT was purchased in March 2025 without his authorization or prior consent. The client also alleged that the UIT was not suitable.