Securities Lawyers Blog

There are Recent Customer Complaints with Broker David Latte in Firm Vienna Capital Partners LLC

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Latte (Latte), currently associated with Vienna Capital Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Latte 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 $844,620.00 on March 03, 2023.

Mass CSAG arbitration with multiple reps and clients on it.

Broker David Alvarado in PHX Financial, INC. Firm Has Customer Complaint

September 17, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker David Alvarado (Alvarado), currently associated with PHX Financial, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Alvarado 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 $30,000.00 on March 03, 2023.

Unsuitability, excessive trading/commissions, unauthorized trading, negligence

There are Recent Customer Complaints with Broker Matthew Ross in Firm Morgan Stanley

September 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 06, 2023.

Client verbally complained that the sale of stock in her account was unauthorized. – September 2022 – March 2023

There are Recent Customer Complaints with Broker David Macchia in Firm MML Investors Services, LLC

September 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 08, 2023.

Client alleged that RR made unsuitable recommendations to invest in a variable annuity and certain other securities on or about March 2, 2022 and March 15, 2022.

There are Recent Customer Complaints with Broker Dimitri Rassias in Firm UBS Financial Services INC.

September 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 08, 2023.

Client alleges that RR made unsuitable recommendations to invest in a variable annuity and certain other securities.

There are Recent Customer Complaints with Broker Douglas Willmore in Firm Western International Securities, INC.

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Willmore (Willmore), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Willmore 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 March 03, 2023.

Unsuitability; Negligence

There are Recent Customer Complaints with Broker Ann Werts in Firm Madison Avenue Securities, LLC

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ann Werts (Werts), previously associated with Madison Avenue Securities, LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Werts 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 March 07, 2023.

Breach of Fiduciary Duty, Breach of Regulation BI, Misrepresentation/Non-Disclosures, unsuitable recommendation of alternative investments.

There are Recent Customer Complaints with Broker John Girgis in Firm Garden State Securities, INC.

September 17, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Girgis (Girgis), currently associated with Garden State Securities, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Girgis 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 $264,475.00 on March 03, 2023.

Unsuitability, excessive trading/commissions, unauthorized trading, negligence

There are Recent Customer Complaints with Broker Tyler Pratt in Firm Oppenheimer & CO. INC.

September 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 07, 2023.

Client alleges unauthorized trading in her accounts as of 3/6/2023, requests reimbursement of all Margin Interest charges.

There are Recent Customer Complaints with Broker Nicholas Taggart in Firm Imst Distributors, LLC

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Taggart (Taggart), currently associated with Imst Distributors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taggart 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 $300,000.00 on March 03, 2023.

Claimant alleges they were recommended and overconcentrated in unsuitable investments.