Securities Lawyers Blog

There are Recent Customer Complaints with Broker James Stephan in Firm Wedbush Securities INC.

November 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Stephan (Stephan), currently associated with Wedbush Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Stephan 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 $874,000.00 on August 11, 2022.

Claimants’ allegations include Unsuitable Investment Recommendations, Breach of Fiduciary Duty and Negligent Misrepresentation on the part of James Stephan during the timeframe of June 2018 through March 2022.

There are Recent Customer Complaints with Broker Gary Mathews in Firm LPL Financial LLC

November 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Mathews (Mathews), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mathews 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 $17,279.44 on August 11, 2022.

Customer alleges misrepresentation with regard to the sale of a contingent interest note on January 26, 2021 by now deceased representative

There are Recent Customer Complaints with Broker Kelly Straub in Firm Purshe Kaplan Sterling Investments

November 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 15, 2022.

Customer alleges misrepresentation of a variable annuity issued 11/8/2007

Broker Cristobal Flanagan Margozzini in UBS Financial Services INC. Firm Has Customer Complaint

November 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 16, 2022.

Time Frame: July 15, 2022\, \, What were the allegations against the individual? The client alleges his Financial Advisor did not follow instructions and failed to enter a trade. The alleged damages are in excess of $5,000.00.

Broker James Dunn in Ameriprise Financial Services, LLC Firm Has Customer Complaint

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Dunn (Dunn), previously associated with Ameriprise Financial Services, LLC, has at least 17 disclosable events. These events include 16 customer complaints, one regulatory event, alleging that Dunn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 17, 2022.

Without admitting or denying the findings, Dunn consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA. The findings stated that this matter originated from FINRA’s review of a Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Dunn’s member firm disclosing that he had voluntarily resigned while under review for potential violation of company policy related to suitability, unauthorized trades and texting with clients.

There are Recent Customer Complaints with Broker Luke Gandolfi in Firm Nylife Securities LLC

November 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 17, 2022.

Customer alleges that she was misled during the sale of a variable annuity purchased in September 2021.

There are Recent Customer Complaints with Broker Michael Volini in Firm Cetera Wealth Services, LLC

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Volini (Volini), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Volini 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 $50,000.00 on August 21, 2022.

Claimant states claims for fraud, breach of fiduciary duty, negligence and breach of contract and alleges damages of $50,000, and also seeks pre-judgment and post-judgment interest for Claimant’s loss of use of his capital, and costs and fees.

There are Recent Customer Complaints with Broker Brian Casey in Firm Allstate Financial Services, LLC

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Casey (Casey), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Casey 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 $6,000.00 on August 17, 2022.

Customer has alleged he instructed registered representative to invest his non-qualified $50,000 in a safe harbor until the market dropped and that the representative did the exact opposite by placing him in a variable annuity. Customer has requested to be made whole and has claimed damages of (market value) loss in contract.

There are Recent Customer Complaints with Broker Anne Martin Gash in Firm Ameriprise Financial Services, INC.

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anne Martin Gash (Martin Gash), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin Gash 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 August 18, 2022.

The client alleged the advisor misled them on the sale of a variable annuity in July 2013.

There are Recent Customer Complaints with Broker Robert Barbuto in Firm Charles Schwab & Co., INC.

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Barbuto (Barbuto), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Barbuto 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 $54,531.13 on August 22, 2022.

Client alleges representative did not disclose fees associated with an advised offering and requested a refund of fees in the amount of $54,531.13.