Securities Lawyers Blog

There are Recent Customer Complaints with Broker Angela Denham in Firm Wells Fargo Clearing Services, LLC

February 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $50,000.00 on April 23, 2021.

Customer alleges that the purchases of two investments made approximately seven years ago were not suitable. Activity Period: 6/2014 – 4/2021

Broker Brian Rockowitz in Madison Global Partners LLC Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Rockowitz (Rockowitz), currently associated with Madison Global Partners LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rockowitz 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 $106,882.07 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimant(s) allege unsuitable investment recommendations

Broker Daniel Sopher in LPL Financial LLC Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Sopher (Sopher), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sopher 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 $73,000.00 on April 26, 2021.

Claimant alleges negligence, breach of fiduciary duty, and failure to supervise.

There are Recent Customer Complaints with Broker Juan Perez in Firm UBS Financial Services INC.

February 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 24, 2021.

Time frame: Unspecified Allegations: Claimants allege their investments in Puerto Rico closed-end funds and municipal bonds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Toni Nieves in Oppenheimer & CO. INC. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Toni Nieves (Nieves), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Nieves 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 $200,000.00 on April 23, 2021.

Claimant alleges a failure to liquidate securities was unsuitable and resulted in losses. March 2020 to April 2020

Broker Frank Betsch in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

Previously financial advisor Frank Betsch (Betsch), previously employed by brokerage firm Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $75,000.00 on April 26, 2021.

Client alleges that Financial Professional misrepresented the risks associated with REITS and BDCs and that the investments were unsuitable.

Broker Jorge M. Pelegrina in UBS Financial 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 Jorge M. Pelegrina (Pelegrina), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pelegrina 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 $949,000.00 on April 26, 2021.

Time frame: Unspecified\, Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that their accounts were over-concentrated in these investments. They also allege that the risks of investing in Puerto Rico investments were misrepresented.

Broker Christopher Dallas in Spartan Capital Securities, LLC Firm Has Customer Complaint

February 19, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Christopher Dallas (Dallas), currently associated with Spartan Capital Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Dallas concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $32,736.47 on May 03, 2021.

Customer alleges unsuitable trading, use of an unauthorized option strategy, excessive trading, and excessive commissions.

Broker Hong Pan in Citigroup Global Markets INC. Firm Has Customer Complaint

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hong Pan (Pan), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Pan 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 $5,000.00 on April 29, 2021.

Customer alleges suitability with managed account investment. Activity Date Feb 4, 2021.

There are Recent Customer Complaints with Broker Louis Olave in Firm Lincoln Investment

February 19, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Louis Olave (Olave) 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 Olave was employed by Lincoln Investment at the time of the activity. If you have been a victim of Olave’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on April 30, 2021.

Without admitting or denying the findings, Olave consented to the sanctions and to the entry of findings that he participated in private securities transactions totaling $217,477 without prior disclosure to, or approval from, his member firm. The findings stated that Olave solicited investors to purchase securities of a company that represented itself as a structured cash flow investment that purchased pensions at a discount from pensioners and then sold a portion of those pensions as a pension stream to investors. The company generally promised investors a seven to eight percent rate of return on their investment. Olave received a total of $3,795 in commissions in connection with his sales of the securities.