Securities Lawyers Blog

Broker Bryan Musso in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

August 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Musso (Musso), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Musso 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 $187,826.00 on June 23, 2023.

Breach of fidicuary duty and inappropriate investments

There are Recent Customer Complaints with Broker Bruce Boyle in Firm Thinkequity LLC

August 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Boyle (Boyle), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Boyle 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 22, 2023.

Negligence, unsuitability, fraudulent misrepresentations and omissions, securities fraud, breach of duty, breach of contract

There are Recent Customer Complaints with Broker Thomas Diamante in Firm Sw Financial

August 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Diamante (Diamante), previously associated with Sw Financial, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Diamante 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 $100,000.00 on June 22, 2023.

Diamante was named in a customer complaint that asserted the following causes of action: negligence, unsuitability, fraudulent misrepresentations and omissions, securities fraud, common law fraud, breach of fiduciary duty, and breach of contract.

Broker Cynthia Komarek in Sagepoint Financial, INC. Firm Has Customer Complaint

August 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Komarek (Komarek), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Komarek 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 $1,600,000.00 on June 23, 2023.

FP is alleged to have aided and participated in claimant purchase of unapproved investment

There are Recent Customer Complaints with Broker Ross Hoffman in Firm Fortune Financial Services, INC.

August 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ross Hoffman (Hoffman), currently associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoffman 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 $637,000.00 on June 26, 2023.

Clients allege that the 1035 exchange into a new Pacific Life Indexed Universal Life insurance policy was not suitable for them. Also allege that the premium financing recommded was not suitable and that the loan payments are excessive.

There are Recent Customer Complaints with Broker Rogerio Almeida in Firm Edward Jones

August 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on June 27, 2023.

Without admitting or denying the findings, Almeida consented to the sanctions and to the entry of findings that he conducted OBAs as a mortgage loan officer without providing prior written notice to his member firm. The findings stated that Almeida earned $35,026 in commissions from those activities. Ultimately, Almeida submitted an OBA form to the firm, disclosing that he had a mortgage license with a mortgage company and inaccurately stating he was not working as a loan officer. The firm rejected the OBA, however, Almeida continued to work as a loan officer after the firm’s rejection.

There are Recent Customer Complaints with Broker Kyle Doege in Firm RBC Capital Markets, LLC

August 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 27, 2023.

The client had a concern in June 2023 regarding the death benefit on his variable annuity being less than the original cash value.

There are Recent Customer Complaints with Broker Kenji Saito in Firm Centaurus Financial, INC.

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenji Saito (Saito), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Saito 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 $75,000.00 on June 29, 2023.

The customer alleges that in September 2019, the Registered Representative recommended a high-risk, illiquid and unsuitable investment.

There are Recent Customer Complaints with Broker Viqas Akhtar in Firm B. Riley Wealth Management

August 28, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Viqas Akhtar (Akhtar), currently associated with B. Riley Wealth Management, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Akhtar concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on July 01, 2023.

Alleges unsuitable investments and excessive trading.

There are Recent Customer Complaints with Broker Scott Taylor in Firm Northwestern Mutual Investment Services, LLC

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Taylor (Taylor), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $15,771.00 on June 30, 2023.

Customer alleges that in or around August 2021, the Representative failed to act in the customer’s best interests when the Representative recommended the customer purchase a variable universal life insurance policy that the customer alleges is not suitable for their needs and goals.