Securities Lawyers Blog

Broker Brittany Slater Gautreau in American Trust Investment Services, INC. Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brittany Slater Gautreau (Slater Gautreau), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Slater Gautreau 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 October 05, 2022.

Breach of Contract; Violation of Washington State securities statutes; Breach of Fiduciary Duty; Suitability

Broker Michael Blumer in Spartan Capital Securities, LLC Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Blumer (Blumer), previously associated with Spartan Capital Securities, LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Blumer concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Michael Blumer was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

There are Recent Customer Complaints with Broker Wayne Rector in Firm Nylife Securities LLC

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 07, 2022.

Customer alleged that she was misled when she purchase a variable annuity in May 2022. She alleges that she though she was just transferring her share from her deceased fathers account. Customer seeks release from the variable annuity without penalty.

There are Recent Customer Complaints with Broker Conrad Coggeshall in Firm Packerland Brokerage Services, INC.

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conrad Coggeshall (Coggeshall), previously associated with Packerland Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Coggeshall 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 $1,000,000.00 on October 07, 2022.

This is related to an already know and previously reported issue with Coggeshall. 2005-2017. Omissions of material information, dishonest and unethical practices, unsuitable recommendations, negligent behavior

There are Recent Customer Complaints with Broker John Coleman in Firm Janney Montgomery Scott LLC

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2022.

Client alleged that the Advisor invested the client’s funds in the stock market without the client’s authorization. Allegation Time Period: September 2021 to October 2022

There are Recent Customer Complaints with Broker James Flower in Firm Spartan Capital Securities, LLC

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

James Flower was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

Broker Eric Baron in Network 1 Financial Securities INC. Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Baron (Baron), previously associated with Network 1 Financial Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Baron recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Eric Baron was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

There are Recent Customer Complaints with Broker Steven Wurzer in Firm Morgan Stanley

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2022.

CLIENT ALLEGES THAT HIS INSTRUCTIONS TO INVEST IN A RISK FREE FUND WERE NOT FOLLOWED 2021

There are Recent Customer Complaints with Broker Larry Schwartzman in Firm Oppenheimer & CO. INC.

November 5, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Larry Schwartzman (Schwartzman), currently associated with Oppenheimer & CO. INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Schwartzman concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on October 06, 2022.

Customer asserts claims for unsuitability, breach of fiduciary duty, churning and excessive trading, unauthorized trading and violation or FINRA and securities laws and regulations. 10/2018 – 10/2022.

Broker Thomas Sullivan in Sw Financial Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Thomas Sullivan was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.