Securities Lawyers Blog

Broker Gerald Randisi in Commonwealth Financial Network Firm Has Customer Complaint

February 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Randisi (Randisi), previously associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Randisi 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 $142,000.00 on March 22, 2021.

Customer alleges sales of Franklin Square Investment Corp. and C shares mutual funds were unsuitable.

There are Recent Customer Complaints with Broker Carl Donatello in Firm UBS Financial Services INC.

February 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 26, 2021.

Time Frame: August 21, 2017 to March 26, 2021\, \, The client alleges his Financial Advisors failed to disclose the fees on the account. The alleged damages are estimated to be in excess of $5,000.00

There are Recent Customer Complaints with Broker Thomas Arvanites in Firm Janney Montgomery Scott LLC

February 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Arvanites (Arvanites), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arvanites 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 $15,000.00 on March 22, 2021.

Client alleges that the Financial Advisor failed to follow the Client’s instructions to enter an order for the sale of an equity position as a stop limit order.

Broker Joseph Connors in Edward Jones Firm Has Customer Complaint

February 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2021.

Client alleges financial advisor placed unauthorized mutual fund trades that settled on December 13, 2019.

Broker Enric Sifa in Cetera Investment Services LLC Firm Has Customer Complaint

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enric Sifa (Sifa), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sifa 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 $16,000.00 on April 02, 2021.

Customer alleges that she was misled into purchasing a variable universal life insurance policy in June 2018 and requests a return of the premiums she paid.

Broker Murray Kinlaw in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Murray Kinlaw (Kinlaw), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kinlaw 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 $2,212.21 on March 31, 2021.

The customer alleges that the financial advisor purposely accrued attorney fees and provided poor advice regarding the liquidation of a concentrated equity position.

Broker Michael Weister in Thrivent Investment Management INC. Firm Has Customer Complaint

February 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2021.

Client alleges the account activity from January 24, 2017 through August 2017 was not suitable.

There are Recent Customer Complaints with Broker Blaine Johnson in Firm Nylife Securities LLC

February 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2021.

Customer alleges that a Variable Universal Life insurance policy he purchased in April 2016 is not appropriate for him. Customer wants the policy cancelled without fees or expenses.

There are Recent Customer Complaints with Broker Scott Ivol in Firm Cambridge Investment Research, INC.

February 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2021.

Claimant alleges the RR misrepresented the tax implications of a retirement plan.

There are Recent Customer Complaints with Broker Amarilis Santiago Torres in Firm Popular Securities, LLC

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amarilis Santiago Torres (Santiago Torres), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Santiago Torres 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 $310,000.00 on March 31, 2021.

Claimant alleges that Financial Consultant made recommendations to purchase and to hold P.R. Closed-end funds and P.R. Bonds, resulting in an over concentrated and high risk portfolio, which was unsuitable in light of the client\\u00e2? ?s stated risk tolerance and investment objective.