Securities Lawyers Blog

There are Recent Customer Complaints with Broker Joseph Altobelli in Firm Osaic Wealth, INC.

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Altobelli (Altobelli), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Altobelli 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 $50,000.00 on April 11, 2023.

Claimant’s attorneys allege that the recommendation of one non-traded business development company was not in keeping with the client’s objectives and risk tolerance, and that full disclosure was not made regarding the investment.

There are Recent Customer Complaints with Broker Jammie Avila in Firm Independent Financial Group, LLC

September 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 08, 2023.

Various and non-various breach of fiduciary duty.

There are Recent Customer Complaints with Broker Nader Gandevani in Firm Moloney Securities Co., INC.

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nader Gandevani (Gandevani), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Gandevani 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 $75,000.00 on April 11, 2023.

Suitability/negligence. 2021

There are Recent Customer Complaints with Broker Jason Slezak in Firm Landolt Securities, INC.

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Slezak (Slezak), currently associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Slezak 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 $646,520.00 on April 10, 2023.

Registered Representative Jason Slezak sold claimant GWG L Bonds in August 2017 and December 2018, totaling $656,520. Following GWG’s bankruptcy in 2022, Claimant is now alleging these trades were unsuitable. Claimant also alleges breach of fiduciary duty, negligent misrepresentation, lack of sufficient due diligence, failure to supervise, and Regulation Best Interest Violations.

Broker Thomas Livaccari in Rockefeller Financial LLC Firm Has Customer Complaint

September 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 07, 2023.

Time Frame: March 3rd, 2022 to February 13th, 2023\, \, What were the allegations against the individual? Client alleges he was inappropriately put into investments based on misstated facts and errors that were structurally contrary to his instructions on what was acceptable to place his money.

Broker Ronald Martin in Osaic Wealth, INC. Firm Has Customer Complaint

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Martin (Martin), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $5,000.00 on April 08, 2023.

Client alleges the Financial Professional misrepresented the interval fund.

There are Recent Customer Complaints with Broker Theodore Jenkin in Firm Kestra Investment Services, LLC

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Jenkin (Jenkin), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jenkin 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 April 11, 2023.

Claimants allege Jenkin recommended and misrepresented investments in conservation easements.

There are Recent Customer Complaints with Broker James Erickson in Firm Morgan Stanley

September 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 11, 2023.

Client alleged, inter alia, that her instructions to invest her funds in safe short-term investments were not followed. 2021-2022

There are Recent Customer Complaints with Broker Ronald Eiger in Firm Chelsea Financial Services

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Eiger (Eiger), currently associated with Chelsea Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Eiger 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 $50,000.00 on April 10, 2023.

Claimants allege that they were recommended unsuitable REIT investments

Broker Andrew Mccausland in Ausdal Financial Partners, INC. Firm Has Customer Complaint

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Mccausland (Mccausland), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mccausland 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 $50,000.00 on April 11, 2023.

Unsuitable Investments; Misleading Investment recommendations related to purchases of GWG L bonds for the period between February 2019 and June 2020.