Securities Lawyers Blog

There are Recent Customer Complaints with Broker David Reimer in Firm Dominari Securities LLC

July 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Reimer (Reimer), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reimer 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 $50,000.00 on May 14, 2025.

Failure to supervise, unsuitable investments

Broker Daniel Schapiro in Dominari Securities LLC Firm Has Customer Complaint

July 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Schapiro (Schapiro), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schapiro 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 $50,000.00 on May 14, 2025.

Unsuitable investments.

There are Recent Customer Complaints with Broker Kenneth Offenberg in Firm Raymond James & Associates, INC.

July 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Offenberg (Offenberg), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Offenberg 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 $11,243.62 on May 16, 2025.

Client alleged advisor sold position without authorization. Allegation dates: 03/06/2023 – 05/16/2025

Broker Thomas Reis in PFS Investments INC. Firm Has Customer Complaint

July 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Reis (Reis), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Reis 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 $50,000.00 on May 16, 2025.

Customer alleges RR provided poor service by not pushing hard enough to get a rollover transaction completed fast enough to avoid a downturn in the market.

There are Recent Customer Complaints with Broker J Byron Davies in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

July 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker J Byron Davies (Davies), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Davies 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 $370,795.74 on May 16, 2025.

Client alleges unsuitability and misrepresentation.

Broker Robert Cutrupi in Raymond James Financial Services, INC. Firm Has Customer Complaint

July 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Cutrupi (Cutrupi), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cutrupi 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 $36,608.15 on May 14, 2025.

Claimant alleges FA did not follow her instructions to invest in investments that were consistent with a conservative risk tolerance.

There are Recent Customer Complaints with Broker H Roggen in Firm Raymond James Financial Services, INC.

July 24, 2025 | by Staff Attorney

Previously financial advisor H Roggen (Roggen), previously employed by brokerage firm Raymond James Financial Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint on May 14, 2025.

Client alleges FA recommended 2 unsuitable private placement investments and improperly enticed him to make those investments. Allegation Activity dates: March 25, 2021 – March 24, 2025.

There are Recent Customer Complaints with Broker Matthew Brandt in Firm Ameriprise Financial Services, LLC

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Brandt (Brandt), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brandt 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 $41,281.37 on May 23, 2025.

Claimants allege advisor did not follow their instructions resulting in portfolio losses.

Broker Jonathan Lococo in Charles Schwab & Co., INC. Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Lococo (Lococo), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Lococo 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 $5,000.00 on May 19, 2025.

In March 2025, the client alleges the representative misrepresented the dollar amount of a retention offer.

There are Recent Customer Complaints with Broker Scott Durrett in Firm Ameriprise Financial Services, LLC

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Durrett (Durrett), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Durrett 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 $102,964.35 on May 21, 2025.

The client alleged the advisor purchased three brokered Certificates of Deposit without her verbal approval in March 2025.