Securities Lawyers Blog

There are Recent Customer Complaints with Broker Armando Roman in Firm Independent Financial Group, LLC

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Armando Roman (Roman), previously associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roman 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 February 06, 2023.

Alleges investment was not suitable. See response to #24, below for additional information

Broker Sheila Groth in MML Investors Services, LLC Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sheila Groth (Groth), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Groth 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 $28,000.00 on February 08, 2023.

Regarding a variable annuity purchased in 2021, the complainant alleges that she suffered financial losses because at the time of sale, the rep didn’t disclose to her that the product wasn’t set up as she had initially requested, certain preclusions related to the product weren’t disclosed to her, and changes were made to the annuitant by either the rep or the fund company itself, which she wouldn’t have agreed to, and which affected the death benefit. She wants to be reimbursed for her losses.

Broker Paul Conlon in Citizens Securities, INC. Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Conlon (Conlon), previously associated with Citizens Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Conlon 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 $9,860.00 on February 13, 2023.

Claimant alleges that, between 2017 and 2020, payroll deductions to fund a 401K account were made, and further alleges that the account establishment and funding were misrepresented.

There are Recent Customer Complaints with Broker Daniel Raupp in Firm Concorde Investment Services, LLC

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Raupp (Raupp), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raupp 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 $270,000.00 on February 08, 2023.

Claim is alleging suitability, misrepresentation, and violation of FINRA rules 2010 (fiduciary duty) relating to investments made in 2015 to 2017.

There are Recent Customer Complaints with Broker Austin Fox in Firm Cetera Investment Services LLC

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Fox (Fox), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 $40,000.00 on February 14, 2023.

Claimant alleges that Respondent’s registered representative failed to disclose market and tax risk.

There are Recent Customer Complaints with Broker Nathan Alexander in Firm Fidelity Brokerage Services LLC

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Alexander (Alexander), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alexander 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 $6,355.00 on February 14, 2023.

Customer alleged that the representative did not disclose the taxability of changing investment products.

Broker Mary Dineen in UBS Financial Services INC. Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Dineen (Dineen), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Dineen 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 $540,000.00 on February 10, 2023.

Time frame: 2018-present \, \, Allegations: Claimant alleges funds from trust were removed without authorization or consent, and funds have been allegedly missing.

Broker Marna Hart in Independent Financial Group, LLC Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marna Hart (Hart), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hart 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 $15,000.00 on February 06, 2023.

Allege investment was not suitable. See #24 below for additional information.

Broker Joseph Kocsis in Great Point Capital LLC Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kocsis (Kocsis), currently associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kocsis 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 $250,000.00 on February 08, 2023.

The investments at issue were replacement property as part of a Section 1031 Exchange. Claimants allege they were not suitable for the investment, and that there was not a reasonable basis for the investment recommendation. Claimants allege omissions and misstatements if fact. They also allege misrepresentation, breach of contract and other claims. Occurrences were in 2019 and 2020. Although not named in this claim Mr. Kocsis is alleged to have involved in the occurrences.

There are Recent Customer Complaints with Broker Brian Bates in Firm LPL Financial LLC

September 21, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Brian Bates (Bates), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Bates’s most recent customer complaint alleges that Bates recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on February 13, 2023.

Claimants allege that their representative recommended unsuitable structured notes for their account. Activity period: November 2021 to September 2023.