Securities Lawyers Blog

Broker Kyle Corgan in Newbridge Securities Corporation Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Corgan (Corgan), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Corgan 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 $100,000.00 on June 07, 2022.

Negligence, Breach of Fiduciary Duty, Negligent Supervision

There are Recent Customer Complaints with Broker Yoil Awabdeh in Firm Wells Fargo Clearing Services, LLC

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 11, 2022.

Power of Attorney complained that she was not informed that the mutual funds purchased in her mother’s account required an 18 month holding period. (2/14/2022-6/11/2022)

Broker Gaspar Garcia in Newbridge Securities Corporation Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gaspar Garcia (Garcia), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $150,000.00 on June 09, 2022.

Negligence, Breach of Fiduciary Duty, Negligent Supervision, Fraud

Broker Brian Bishop in LPL Financial LLC Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 13, 2022.

Claimant alleges that during the time period October 2017 to November 2020, representative consolidated funds into an account without consulting with the accountholder as to whether changes should be made to the beneficiary elections.

Broker Clark Harris in Aurora Securities Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clark Harris (Harris), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Harris 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 $143,366.00 on June 10, 2022.

Per Sigma Financial Corporation, the client filed a demand letter alleging that between 2010 – 2015, the representative made unsuitable recommendations and encouraged the customer to invest in a non-traded direct participation program (DPP) and a REIT. The claim further alleges the representative did not have the required securities registration to make the recommendation and that the firm failed to adequately supervise the representative.

Broker Alan Friedman in Equitable Advisors, LLC Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Alan Friedman (Friedman), currently employed by Equitable Advisors, 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), Friedman’s most recent customer complaint alleges that Friedman 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 on June 10, 2022.

Client alleges RR sold them unsuitable structured notes in 2021.

Broker Angela Schueman in LPL Financial LLC Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Schueman (Schueman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schueman 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 $93,231.00 on June 08, 2022.

Claimant alleges representative’s recommendation to withdraw funds from an annuity caused Claimant financial harm. Time period: August 2018 to July 2020.

There are Recent Customer Complaints with Broker Scott Wolfrum in Firm Huntleigh Securities Corporation

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Wolfrum (Wolfrum), previously associated with Huntleigh Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wolfrum 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 June 08, 2022.

Client alleges inadequate due diligence for 2015 investment.

There are Recent Customer Complaints with Broker Marc Fragola in Firm Kestra Investment Services, LLC

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Fragola (Fragola), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fragola 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 $46,000.00 on June 10, 2022.

Fragola recommended a variable annuity with a 7% roll-up rate to the clients based on information he received from a representative of the insurance company. Although, he conducted due diligence with the insurance company annually for 10 years to confirm the terms of the annuity he was unaware that the 7% compounding would only last for 10 years.

There are Recent Customer Complaints with Broker William Gamble in Firm Truist Investment Services, INC.

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 09, 2022.

CLAIMANT ALLEGES UNAUTHORIZED TRANSACTIONS REGARDING TWO CORPORATE BONDS WHICH RESULTED THE BONDS BEING LIQUIDATED AND THE PROCEEDS BEING TRANSFERRED TO AN UNKNOWN ACCOUNT.