Securities Lawyers Blog

Broker Joshua Baker in Oneamerica Securities, INC. Firm Has Customer Complaint

July 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Baker (Baker), previously associated with Oneamerica Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Baker 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 $5,000,000.00 on September 13, 2023.

The complainants allege that their registered representative, beginning in or around 2021, made material misrepresentations in the sale of Whole Life Insurance and Variable Annuities, and falsified signatures and made fraudulent representations on insurance applications.

Broker John Cimino in American Global Wealth Management, INC. Firm Has Customer Complaint

July 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Cimino (Cimino), currently associated with American Global Wealth Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cimino 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 $648,745.00 on September 13, 2023.

CLAIMANT ALLEGES IN OR AROUND DECEMBER 2017, HER MOTHER’S FINANCIAL ADVISORS (FA) MADE UNSUITABLE INVESTMENTS WITH REGARD TO HER WELLS FARGO (WF) ACCOUNTS.

Broker Zvi Rosenzweig in MML Investors Services, LLC Firm Has Customer Complaint

July 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 18, 2023.

The complainant alleges, that in or around November 30, 2016, his registered representative, advised him to partially redeem his variable annuity, to fund a whole life policy, which was misrepresented. The complainant says that because of the redemption, he has incurred significant taxes, and says he had cash available elsewhere and should not have been advised to partially redeem the variable annuity.

Broker Dan Wagner in Arkadios Capital Firm Has Customer Complaint

July 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dan Wagner (Wagner), currently associated with Arkadios Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wagner 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 $189,550.00 on September 22, 2023.

Customer alleges REIT and LP investments made in 2015 were unsuitable.

There are Recent Customer Complaints with Broker Rocco Maselli in Firm Vcs Venture Securities

July 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rocco Maselli (Maselli), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Maselli 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 $500,000.00 on September 14, 2023.

VIOLATIONS OF FEDERAL SECURITIES LAWS, VIOLATION OF NEW YORK CONSUMER PROTECTION ACT, BREACH OF CONTRACT, COMMON LAW FRAUD, BREACH OF FIDUCIARY DUTY, NEGLIGENCE AND GROSS NEGLIGENCE.

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

July 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 15, 2023.

Client complained that FA sold certain securities in client’s discretionary account without client’s approval.

Broker William Isaacson in Peak Brokerage Services, LLC Firm Has Customer Complaint

July 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Isaacson (Isaacson), previously associated with Peak Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Isaacson 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 $110,000.00 on September 20, 2023.

SOC alleges that investment was not suitable.

Broker Steven Sabo in LPL Financial LLC Firm Has Customer Complaint

July 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Sabo (Sabo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sabo 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 $70,000.00 on September 22, 2023.

Claimant alleges LPL representatives made an unsuitable recommendation in 2013 to purchase an alternative investment.

There are Recent Customer Complaints with Broker Rosa Fernandez in Firm UBS Financial Services Incorporated of Puerto Rico

July 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 14, 2023.

Time frame: Unspecified\, \, Allegations: Claimants allege their investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

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

July 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Kubicsko (Kubicsko), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kubicsko 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 $400,000.00 on September 20, 2023.

Claimant alleges FA (i) recommended an investment in the Thornburg Limited Term Municipal Fund which was unsuitable and not in Claimant’s best interest and (ii) failed to disclose annual fees paid by the fund manager to RJA.