Securities Lawyers Blog

There are Recent Customer Complaints with Broker Robert Gianchiglia in Firm Oneamerica Securities, INC.

April 23, 2026 | by Staff Attorney

Currently financial advisor Robert Gianchiglia (Gianchiglia), currently employed by brokerage firm Oneamerica Securities, INC. 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 $200,000.00 on August 18, 2020.

FINRA arbitration 19-03388 in which the claimants allege misrepresentation in the sale of private placement

Broker Michael Kamperman in Hd Vest Investment Services Firm Has Customer Complaint

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kamperman (Kamperman), previously associated with Hd Vest Investment Services, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kamperman 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 August 13, 2020.

Client alleged the trades placed in her account were unsuitable and excessive. Time frame of the alleged activity was 2015 through June 2017.

There are Recent Customer Complaints with Broker John Kuehl in Firm RBC Capital Markets, LLC

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Kuehl (Kuehl), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kuehl 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 August 13, 2020.

Claimant alleges that in 2013 and 2016 his financial advisor switched his accounts from fee-based to commission without his approval.

There are Recent Customer Complaints with Broker Mario Didomenico in Firm Muriel Siebert & Co., LLC

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Didomenico (Didomenico), currently associated with Muriel Siebert & Co., LLC, has at least one disclosable event. These events include one customer complaint, alleging that Didomenico 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 $14,999.00 on August 14, 2020.

Claimants alleged suitability issues which Mr. DiDomenico strongly states were discussed and fully covered.

There are Recent Customer Complaints with Broker David Omura in Firm Commonwealth Financial Network

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Omura (Omura), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Omura 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 $72,927.00 on August 13, 2020.

Clients allege that an error which RR acknowledged and agreed to remedy, was, among other things, a violation of Hawaii securities laws.

Broker William Humbarger in Nylife Securities LLC Firm Has Customer Complaint

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Humbarger (Humbarger), previously associated with Nylife Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Humbarger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 13, 2020.

Plaintiffs allege that in or around February 1999 and March 1999 they were misled into exchanging life insurance policies into Variable Universal Life policies which carried significant surrender charges and were not suitable. Plaintiffs seek compensatory and punitive damages as well as costs and fees.

There are Recent Customer Complaints with Broker Douglas Henrickson in Firm Triad Advisors LLC

April 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 12, 2020.

Following suspension of distributions, Claimants now allege, 5-6 years after the fact, that investments they elected to make in 2014/2015 were unsuitable.

Broker Matthew Gurule in Fbl Marketing Services, LLC Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Gurule (Gurule), currently associated with Fbl Marketing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gurule 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 $74,750.00 on December 03, 2020.

The client alleges they never requested to liquidate their assets to transfer to FBLMS. They wanted to move the account assets as is.

There are Recent Customer Complaints with Broker Dean Purdy in Firm Nylife Securities LLC

April 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 07, 2020.

Customers alleged that they were not informed of the fees associated with the purchase of variable annuities in July and November 2014.

Broker David Topper in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Topper (Topper), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Topper 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 $77,941.00 on December 07, 2020.

Clients allege they did not understand the nature of the fixed indexed annuities they bought and failure to follow investment instructions in April 2020.