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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Sinnott (Sinnott), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Sinnott 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 $12,256.00 on April 27, 2022.

The client alleges the representative recommended an investment strategy that was not in her best interest, which created an unexpected tax liability of $12,256.00.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Raymond Pirrello (Pirrello) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Pirrello was employed by Garden State Securities, INC. at the time of the activity.  If you have been a victim of Pirrello’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,800,000.00 on April 25, 2022.

Suitability, churning, beach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Defano (Defano), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Defano 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 $9,662.00 on April 27, 2022.

Client was mislead about the dollar amount of the premium payments and customer is also alleging failure to disclose charges, expenses and fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Wilcox (Wilcox), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilcox 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 $25,000.00 on April 28, 2022.

Customer alleges that the oil and gas limited partnership purchased was not researched and vetted before allowing to be sold by representative therefore contributing to loss of principal invested.

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

FINRA BrokerCheck shows a settled customer complaint on April 28, 2022.

The client alleges that he instructed the financial advisor to invest his funds on March 12, 2020 and they were not invested until May 29, 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hinck (Hinck), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hinck 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 $80,000.00 on April 25, 2022.

During the period February 2008 through September 2014, the customer alleges that the Registered Representative recommended illiquid, unsuitable investments and breached his fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Foster (Foster), currently associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Foster 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 $122,497.33 on April 25, 2022.

Client alleges that the strategy used to withdraw funds from client’s annuity has caused client to miss out on specific benefits of the annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Haese (Haese), currently associated with Superior Financial Services, inc., has at least one disclosable event. These events include one customer complaint, alleging that Haese 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 $431,011.89 on April 22, 2022.

Customer purchased bonds through an investment advisory firm and a dually registered representative that is associated with Superior Financial Services, Inc.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Keeling (Keeling), previously associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Keeling 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 $13,285.00 on April 27, 2022.

Client alleged that advice provided by the representative resulted in an undiscussed capital gains impact on their taxes.

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

FINRA BrokerCheck shows a settled customer complaint on April 28, 2022.

CLIENT COMPLAINED ABOUT COUPON BARRIER NOTE, ALLEGED THAT HE WANTED HIS FUNDS INVESTED CONSERVATIVELY AND BELIEVED THE MOST HE COULD LOSE WAS 30%, BUT REGISTERED REPRESENTATIVE SOLD HIM SOMETHING THAT WAS “EXTREMELY HIGH RISK,” AND HIS $40K INVESTMENT AT ONE POINT DROPPED TO $7K. OCCURRENCE DATES:  7/26/2021-4/28/2022. SETTLEMENT AMOUNT:  $20,236

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