Securities Lawyers Blog

There are Recent Customer Complaints with Broker Ryan Mitrik in Firm Edward Jones

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Mitrik (Mitrik), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mitrik 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 $20,000.00 on September 29, 2022.

The client alleges the financial advisor (and his wife) took advantage of her by enticing her to take a margin loan and pay the FA’s wife for classes taken by her granddaughter. The client states the courses were useless and believes the FA (and his wife) took advantage of her. Additionally, the client requests that she be reimbursed for the costs of the classes.

Broker Nicholas Mazzaferro in Equitable Advisors, LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 22, 2022.

Client alleges the RR did not disclose the surrender charges associated with a variable annuity sold in 2022.

Broker Nohra Bello in Fidelity Brokerage Services LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 26, 2022.

The customers allege an unsuitable investment strategy, omission of materials facts and that the Financial Advisor was not acting in their best interest from August of 2020 until January of 2021.

There are Recent Customer Complaints with Broker Alex Rosen in Firm Osaic Wealth, INC.

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 19, 2022.

The client alleges the RR misrepresented variable annuities purchased in 2021 and 2022.

There are Recent Customer Complaints with Broker Ryan Herits in Firm Lincoln Investment

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Herits (Herits), currently associated with Lincoln Investment, has at least one disclosable event. These events include one customer complaint, alleging that Herits 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 $5,718.63 on September 21, 2022.

Client alleged that the representative failed to act upon instructions to liquidate.

Broker Jason Gopen in J.P. Morgan Securities LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Gopen (Gopen), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gopen 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 $500,000.00 on September 22, 2022.

Customer alleges unauthorized trading and unsuitable recommendation regarding managed account investment. Activity dates 02.14.20 – 09.22.22.

There are Recent Customer Complaints with Broker John Becker in Firm LPL Enterprise, LLC

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 27, 2022.

Customer Alleges the rep did not fully disclose all the facts regarding investment objectives and suitability.

Broker Dusty Sternadel in Ameriprise Financial Services, LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dusty Sternadel (Sternadel), previously associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Sternadel 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 $10,000.00 on September 28, 2022.

The client alleged the advisor misappropriated funds in her account without her authorization.

Broker Michaelangelo Dooley in Newedge Securities, LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Michaelangelo Dooley (Dooley), currently employed by Newedge Securities, 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), Dooley’s most recent customer complaint alleges that Dooley recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $26,000.00 on September 16, 2022.

Customer alleges unsuitable investment allocations to international growth and emerging markets stocks, lack of diversification in managed account structured note portfolio and misrepresentations regarding tax exempt municipal bond yields.

There are Recent Customer Complaints with Broker Travis Jennings in Firm Dempsey Lord Smith, LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Jennings (Jennings), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jennings 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 $500,000.00 on September 29, 2022.

The claimant alleges (i) that Encompass Financial Group, Inc. d/b/a Finance CAPE and Travis S. Jennings solicited and recommended that claimant invest $500,000 in L-Bonds offered by GWG Holdings in October 2020; (ii) that the recommendations were contrary to the claimant’s investment objectives, risk tolerance, and best interest; (iii) that the recommendations were also contrary to the instructions given by claimant; (iv) that Finance CAPE and Jennings breached their fiduciary duty; and (v) that the investments resulted in damages. Finance CAPE and Jennings deny all claims.