Securities Lawyers Blog

There are Recent Customer Complaints with Broker John Barrett in Firm Emerson Equity LLC

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Barrett (Barrett), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barrett 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 $166,056.00 on July 09, 2025.

Unsuitable investment 2017

There are Recent Customer Complaints with Broker Jared Gudenkauf in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jared Gudenkauf (Gudenkauf), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gudenkauf 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 $1,000,000.00 on July 08, 2025.

Client alleges that the registered representative failed to act in his best interest in August 2021, related to the liquidation of a pension plan.

Broker Clifford Hodgman in Oppenheimer & CO. INC. Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 03, 2025.

Claimant alleges he suffered losses because he was not advised to diversify his account. 2008 to Present

Broker Joseph Barreca in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Barreca (Barreca), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barreca 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 $300,000.00 on July 09, 2025.

Customer stated that Market Linked Notes that were purchased in 2021 were unsuitable for the account and not in the best interest of the customer because the account lacked diversification and the Notes were illiquid. Upon investigation, the firm concluded that the Notes were suitable for, and in the best interest of, the customer given the customer’s investment objectives and risk profile. The firm also concluded that the features of the Notes had been discussed with the customer prior to purchase.

Broker Karl Thaler in Equitable Advisors, LLC Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karl Thaler (Thaler), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thaler 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 $19,999.00 on July 11, 2025.

Plaintiff alleges the RR failed to adequately disclose internal investment fees and made misrepresentations in connection with a variable annuity purchased in 2022.

Broker Michael Harris in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 08, 2025.

The Claimants allege misrepresentation, unsuitable investment and failure to act in their best interest in 2023 – 2025.

There are Recent Customer Complaints with Broker Joseph Roop in Firm Dempsey Lord Smith, LLC

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Roop (Roop), previously associated with Dempsey Lord Smith, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Roop 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 $45,000.00 on July 10, 2025.

Unsuitable Recommendation\, Breach of Fiduciary Duty\, Negligence and Negligent Misrepresentation\, Breach of Contract

Broker Gregory Mcleod in Newbridge Securities Corporation Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Mcleod (Mcleod), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcleod 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 $500,000.00 on July 02, 2025.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE, NEGLIGENCE, MISREPRESENTATIONS/OMISSIONS, VIOLATIONS OF STATE AND FEDERAL SECURITIES LAWS AND REGULATIONS.

There are Recent Customer Complaints with Broker Harry Hartman in Firm Edward Jones

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harry Hartman (Hartman), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hartman 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 $122,779.00 on July 07, 2025.

Claimant alleges registered representative sold individual stock holdings of the Claimant without her informed consent on April 19, 2024.

Broker Michael Schiavello in Dominari Securities LLC Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Schiavello (Schiavello), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schiavello 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 $200,000.00 on July 11, 2025.

A former customer of Registered Representative alleges damages arising from Registered Representative’s ‘unsuitable investment advice, misrepresentation and breach of FINRA rules and obligations in relation to [his] investment’