Securities Lawyers Blog

Broker Vanessa Sopke in Cetera Investment Services LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Vanessa Sopke (Sopke), previously employed by Cetera Investment Services LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Sopke’s most recent customer complaint alleges that Sopke recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on July 23, 2025.

The clients allege misrepresentation in the purchase of two structured products.

Broker Matthew Stucke in Cetera Wealth Services, LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Stucke (Stucke), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stucke 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 $400,000.00 on July 21, 2025.

Statement of Claim alleges the financial professional recommended unsuitable and risky investments resulting in substantial loss.

Broker Leroy Born in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leroy Born (Born), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Born recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on July 18, 2025.

The clients complained that they did not authorize an additional purchase of securities, and that the securities were too risky. The clients also complained that other securities recommended by the Financial Advisor did not meet their directive to invest in a “safe” investment. (09/05/2024 – 06/18/2025)

There are Recent Customer Complaints with Broker Robert Gregory in Firm Wells Fargo Advisors Financial Network, LLC

August 21, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Robert Gregory (Gregory) 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 Gregory was employed by Wells Fargo Advisors Financial Network, LLC at the time of the activity. If you have been a victim of Gregory’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint on July 17, 2025.

Petitioner alleges misappropriation by assisting another party’s actions to gain control of assets in an Estate.

Broker John Hebner in Moloney Securities Co., INC. Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hebner (Hebner), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Hebner 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 $99,000.00 on July 21, 2025.

Suitability/negligence. 2020.

Broker Sunnie Lee in MML Investors Services, LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sunnie Lee (Lee), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $6,865.73 on July 28, 2025.

The complainant alleges that in 2019, the producer persuaded her to replace her variable universal life policy with a whole life policy without any explanation of the surrender charges, causing her financial harm

There are Recent Customer Complaints with Broker Ray Gallette in Firm Coastal Equities, INC.

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ray Gallette (Gallette), previously associated with Coastal Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gallette 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 July 17, 2025.

The claimants allege unsuitable investments.

Broker Patrick Egan in Western International Securities, INC. Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Egan (Egan), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 $105,000.00 on July 30, 2025.

Unsuitable sale of GWG Holdings, Inc. L bonds in 2019

Broker Jeffrey Higgins in Western International Securities, INC. Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Higgins (Higgins), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Higgins 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 $65,000.00 on July 30, 2025.

Unsuitable sale of GWG Holdings, Inc. L bonds in 2019 and 2020

Broker Vasilios Takos in Dominari Securities LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vasilios Takos (Takos), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Takos 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’.