Securities Lawyers Blog

Broker Eric Ruthman in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

September 3, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Eric Ruthman (Ruthman), currently employed by Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Ruthman’s most recent customer complaint alleges that Ruthman recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $326,341.61 on July 22, 2025.

Client claims rep invested her money in structured notes that were unsuitable

Broker Joey Miller in Dai Securities, LLC Firm Has Customer Complaint

September 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $779,212.00 on August 04, 2025.

Client alleges registered representative sold an unsuitable investment.

There are Recent Customer Complaints with Broker Joseph Beam in Firm Capital Investment Group, INC.

September 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on August 04, 2025.

Client invested in GWG Holdings L-Bonds and two annuity products. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022., The Statement of Claim alleges unsuitable recommendations, and violations of Regulation Best Interest.

Broker Cara Miller in Proequities, INC. Firm Has Customer Complaint

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cara Miller (Miller), previously associated with Proequities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $30,000.00 on July 23, 2025.

Alleged unsuitable investment in limited partnership

Broker Peter Po in Emerson Equity LLC Firm Has Customer Complaint

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Po recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on July 30, 2025.

Statement of claim alleges breach of contract, breach of fiduciary duty, etc., regarding two client households purchasing corporate bonds during 2018-2020. The issuing company subsequently declared bankruptcy and proceedings are continuing.

There are Recent Customer Complaints with Broker Elaine Zito in Firm Newbridge Securities Corporation

September 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $325,000.00 on July 23, 2025.

Breach of contract; breach of fiduciary duty; negligence; and violations of state and federal securities rules and laws.

There are Recent Customer Complaints with Broker Mark Vanvoorhees in Firm Berthel, Fisher & Company Financial Services, INC.

September 3, 2025 | by Staff Attorney

Previously financial advisor Mark Vanvoorhees (Vanvoorhees), previously employed by brokerage firm Berthel, Fisher & Company Financial Services, 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 pending customer complaint on July 29, 2025.

The claimant alleges that the Firm and representative failed to make a suitable recommendation and over-concentrated claimant’s account in an oil & gas private placement and other unspecified investments in 2014. The claimant further allege that the Firm and representative misrepresented the investments and induced the claimant to retain the investment and cause them to suffer a loss.

There are Recent Customer Complaints with Broker Joseph Jackson in Firm Capital Investment Group, INC.

September 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $25,000.00 on August 08, 2025.

Client invested in GWG Holdings L-Bonds and two annuity products. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022., The Statement of Claim alleges breach of fiduciary duty, negligence & Regulation Best Interest.

Broker Heath Goldstein in Vestech Securities, INC. Firm Has Customer Complaint

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heath Goldstein (Goldstein), previously associated with Vestech Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Goldstein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $25,000.00 on July 30, 2025.

Recommendation of unsuitable investment in GWG L bonds.

Broker Mark Kemp in Mcnally Financial Services Corporation Firm Has Customer Complaint

September 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,000,000.00 on July 21, 2025.

The Petitioner alleges that Mr. Kemp sold him unsuitable investments and made materially false and misleading statements and materially incomplete disclosures about the products and their risks.