Securities Lawyers Blog

There are Recent Customer Complaints with Broker Andrew Dinkelmeyer in Firm Arkadios Capital

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Dinkelmeyer (Dinkelmeyer), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Dinkelmeyer 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 $400,000.00 on April 26, 2021.

Unreasonable investment recommendations ,breach of fiduciary duties

Broker Jonathan Connolly in Aegis Capital Corp. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Connolly (Connolly), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Connolly 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 $95,027.44 on April 26, 2021.

December 2012 – November 2020. Claimant alleges unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Janine Zander in Firm Raymond James Financial Services, INC.

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janine Zander (Zander), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Zander 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 $18,880.00 on April 26, 2021.

Client alleges the former FA omitted capital gain consequences of actions she proposed in selling existing assets to purchase various John Hancock mutual funds resulting in a tax bill of $18,880.00.

There are Recent Customer Complaints with Broker Glenn Flessas in Firm Bankers Life Securities, INC.

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Flessas (Flessas), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Flessas 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 $11,634.00 on April 26, 2021.

In a written complaint received on April 26, 2021, addressed to Bankers Life and Casualty Company (BLC), an insurance company affiliate of the Firm, client alleged that he was not aware of restrictions pertaining to access of the money used to fund a Premium Bonus Indexed Annuity (PBIA) which was purchased from BLC in October of 2020 and requested a full refund. BLC determined that the PBIA was consistent with the client’s stated financial goals, but released the full amount back to the client without penalty. While the annuity sold to client was not a security and was issued by BLC, the Firm is reporting this complaint because the source of funding for the BLC annuity came from the sale of securities recommended by a registered representative of this Firm.

There are Recent Customer Complaints with Broker Robert Macnamee in Firm Aegis Capital Corp.

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Macnamee (Macnamee), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Macnamee 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 $190,873.62 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimants allege unsuitable investment recommendations.

Broker Michael Farrell in Aegis Capital Corp. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Farrell (Farrell), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Farrell 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 $190,873.62 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimants allege unsuitable investment recommendations.

Broker Marc Livernois in Cuna Brokerage Services, INC. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Livernois (Livernois), previously associated with Cuna Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Livernois 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 $6,979.26 on April 26, 2021.

Client is requesting interest to be paid on an annuity that was previously held and purchased on 6/26/2020. Source of funding to purchase the annuity was from non-qualified money. The account in which the annuity was held was qualified. CMFG Life Insurance Company waived the 10% early withdrawal fee based on this error and returned the clients funds-which were then moved into a non-qualified joint account. \<char_lb_r>\, \<char_lb_r>\, FCM determined interest should have been paid for the time period the fixed product was held through CMFG. Purchase amount was $354,837.71 at a yearly rate of 2.45%. Annuity was held for a total of 293 days which equals $6979.26 of interest owed to the client.

Broker Ernest Green in J.P. Morgan Securities LLC Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernest Green (Green), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Green 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 April 26, 2021.

Customer alleges suitability and misrepresentation in the recommendation of an Offshore Variable Annuity with activity date of 1/29/2004.

Broker Thomas Niemczyk in D. Boral Capital Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Niemczyk (Niemczyk), currently associated with D. Boral Capital, has at least one disclosable event. These events include one customer complaint, alleging that Niemczyk 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 $95,027.44 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimant alleges unsuitable investment recommendations.

Broker Gerald Sharpe in Aegis Capital Corp. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Sharpe (Sharpe), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Sharpe 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 $283,716.78 on April 26, 2021.

Timeframe: December 2012 – November 2020. Claimants allege unsuitable investment recommendations.