Securities Lawyers Blog

There are Recent Customer Complaints with Broker Lisa Mantei in Firm Centaurus Financial, INC.

August 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Mantei (Mantei), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mantei 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 $200,000.00 on June 14, 2023.

The Customer alleges that the financial advisor recommended risky, complex, long-term and illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.

There are Recent Customer Complaints with Broker Steven Work in Firm Citigroup Global Markets INC.

August 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Work (Work), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Work 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 $150,000.00 on June 13, 2023.

Claimant asserts that in March 2021 he sold shares of an equity short with assurance by CGMI through financial advisor, Steven Work, that the margin requirement would be 50% but a margin call several days after the trade was placed was executed at 100% of Claimant’s position, resulting losses in excess of $150,000 after denying time to effect a cash cover to avoid the margin call.

There are Recent Customer Complaints with Broker Samad Kalig in Firm Ameriprise Financial Services, INC.

August 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samad Kalig (Kalig), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kalig 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 June 12, 2023.

Claimant alleges that she was recommended to invest her retirement savings in unsuitable, illiquid and speculative investments including FSIC (FS Investment Corporation) on 12/16/11, FSEP (FS Energy & Power Fund) in 2014, and a RVS Life variable annuity on 12/14/18.

There are Recent Customer Complaints with Broker William Beasley in Firm Bhk Securities, LLC

August 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 12, 2023.

Client alleges, inter alia, FA did not act in claimant’s best interest with respect to the management of client’s account Nov 2018- May 2021

Broker Charles Churchill in Citigroup Global Markets INC. Firm Has Customer Complaint

August 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Churchill (Churchill), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Churchill 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 $113,405.00 on June 14, 2023.

Claimant alleges breaches of fiduciary duties related to recommendations regarding mutual funds and an annuity, failure to provide suitable recommendations, negligence, and failure to supervise an employee. (January 2016-March 2023).

Broker Michael Newins in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

August 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 16, 2023.

Clients allege they were unaware of the tax consequences associated with liquidating their variable annuity contracts and they were not informed by the RR that a 1035 exchange would have reduced their tax exposure.

There are Recent Customer Complaints with Broker Glenda Greenhalgh in Firm Nylife Securities LLC

August 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2023.

Policyowner expressed concern regarding the performance of the variable annuity he purchased in 2019 and the RR’s lack of service and misrepresentation.

Broker Chris Moyseos in Morgan Stanley Firm Has Customer Complaint

August 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Moyseos (Moyseos), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Moyseos 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 $585,000.00 on June 22, 2023.

Claimant alleges, inter alia, That the investments strategy executed in the client’s account was unsuitable – 2020-2022

There are Recent Customer Complaints with Broker Adam Fisher in Firm Arete Wealth Management, LLC

August 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Fisher (Fisher), previously associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fisher 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 $19,500,000.00 on June 26, 2023.

The AAA Arbitration involves Claimants’ claims associated with Stephen Swensen, a non-party to the AAA Arbitration and this Agreement, whom was a past investment advisor at Wealth Navigation. Stephen Swensen ran an investment scam known as Crew Capital. In the AAA Arbitration, Claimants assert that they invested approximately $19,500,000.00 in the now worthless Crew Capital fund. The AAA Arbitration includes claims against Wealth Navigation, Fisher, Jones, and Cazier for violations of the Utah Securities Act, breach of fiduciary duty, negligent breach of professional duties, and negligent failure to supervise.

Broker Michael Jones in Arete Wealth Management, LLC Firm Has Customer Complaint

August 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Jones (Jones), previously associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $19,500,000.00 on June 26, 2023.

The AAA Arbitration involves Claimants’ claims associated with Stephen Swensen, a non-party to the AAA Arbitration and this Agreement, whom was a past investment advisor at Wealth Navigation. Stephen Swensen ran an investment scam known as Crew Capital. In the AAA Arbitration, Claimants assert that they invested approximately $19,500,000.00 in the now worthless Crew Capital fund. The AAA Arbitration includes claims against Wealth Navigation, Fisher, Jones, and Cazier for violations of the Utah Securities Act, breach of fiduciary duty, negligent breach of professional duties, and negligent failure to supervise