Securities Lawyers Blog

Broker Scott Ente in David Lerner Associates, INC. Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Ente (Ente), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ente 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 December 08, 2020.

Omission/misrepresentation in connection with hold recommendation of Puerto Rico Bonds.

There are Recent Customer Complaints with Broker James Nelson in Firm Centaurus Financial, INC.

April 20, 2026 | by Staff Attorney

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

Erroneous disclosure of commissions and fees amount in 2014 & 2015.

There are Recent Customer Complaints with Broker Michael Sandberg in Firm Aegis Capital Corp.

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sandberg (Sandberg), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Sandberg 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 $100,000.00 on December 07, 2020.

Claimant asserts claims for fraud, breach of fiduciary duty, negligence, gross negligence and breach of contract in connection with allegedly unsuitable investments in annuities and ETFs. From 4/1/2014 to 9/30/2020

Broker Raymond Ferro in Woodbury Financial Services, INC. Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $600,000.00 on December 07, 2020.

Ferro was a subject of the customers’ complaint against his member firm that asserted the following causes of action: unsuitability; breach of fiduciary duty; negligence; negligent misrepresentation; intentional misrepresentation; negligent supervision, hiring and retention; and breach of contract.

Broker Brian Summers in Lasalle St Securities, L.l.c. Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 04, 2020.

Claimant alleges that around 2009, Financial Advisor recommended unsuitable investments in an E*TRADE accounts.

There are Recent Customer Complaints with Broker Anthony Meere in Firm David Lerner Associates, INC.

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Meere (Meere), previously associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meere 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 December 08, 2020.

Omission/misrepresentation in connection with hold recommendation of Puerto Rico Bonds.

Broker Stephen Molesky in Kalos Capital, INC. Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Molesky (Molesky), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Molesky 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 $718,000.00 on December 07, 2020.

Breach of fidciary duty, suitability, over concentration in alternative investments, failure to supervise.

Broker Patrick Dyer in Edward Jones Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 29, 2020.

The clients allege money with taken out of an account that they did not want moved and want the money reinvested. The clients also request an accounting of the gains and losses.

Broker Daniel Luna in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 30, 2020.

Claimant alleges their formal financail advisor recommended an unsuitable investment.

There are Recent Customer Complaints with Broker Jeffrey Hofmann in Firm Valic Financial Advisors, INC.

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Hofmann (Hofmann), currently associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hofmann 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 December 29, 2020.

Client did not take his annual annuity withdrawal after the registered representative assigned to his account, not mr. Hofmann, allegedly advised him that the withdrawal could be deferred and is claiming a loss of $50,000.