Securities Lawyers Blog

Broker John Bliss in Kingswood Capital Partners, LLC Firm Has Customer Complaint

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Bliss (Bliss), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bliss 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, 2020.

The client alleges his Financial Professional failed to follow instructions to put on stop orders on positions resulting in losses.

There are Recent Customer Complaints with Broker David Sager in Firm Raymond James & Associates, INC.

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Sager (Sager), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sager 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, 2020.

Clients complained that the financial advisor invested their funds in an aggressive mutual fund without their authorization. (11/7/2019-3/6/2020)

There are Recent Customer Complaints with Broker David Wehrman in Firm UBS Financial Services INC.

July 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 09, 2020.

Time Frame: March 2, 2020 to March 9, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges his instructions to liquidate his securities were not followed. The alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Angelo Vitale in Firm Alexander Capital, L.p.

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angelo Vitale (Vitale), previously associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Vitale 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 $388,058.00 on March 09, 2020.

Time frame: unspecified. Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.

There are Recent Customer Complaints with Broker Joseph Waterloo in Firm Janney Montgomery Scott LLC

July 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 09, 2020.

The client alleges that the investment advisor failed to implement the specific investment strategy that the client requested as indicated in the agreement. Alleged activity occurred from February 19th to March 9, 2020.

Broker Jerry Goldblum in Equitable Advisors, LLC Firm Has Customer Complaint

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Goldblum (Goldblum), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Goldblum 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 $26,212.00 on March 09, 2020.

Time frame: unspecified. Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.

There are Recent Customer Complaints with Broker Dan Csuma in Firm J.P. Morgan Securities LLC

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dan Csuma (Csuma), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Csuma 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 $28,369.00 on March 09, 2020.

Client alleges unauthorized trading regarding managed account investment. Activity dates 02/26/2020-02/26/2020.

There are Recent Customer Complaints with Broker Catherine Santiago Toca in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Santiago Toca (Santiago Toca), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Santiago Toca 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 $2,000,000.00 on March 09, 2020.

The customer alleges unsuitable investment recommendations and misrepresentations.

There are Recent Customer Complaints with Broker Donald Waage in Firm Capital Financial Services, INC.

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Waage (Waage), previously associated with Capital Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waage 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 $5,000.00 on March 05, 2020.

Clients allege breach of fiduciary duty, misrepresentation,violation of indiana state securities laws.

There are Recent Customer Complaints with Broker Mark Schwitz in Firm Allstate Financial Services, LLC

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Schwitz (Schwitz), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schwitz 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, 2020.

2004 – Client alleges that the representative replaced his first policy with a second policy and he does not think that he signed the application for life insurance or policy change.