Securities Lawyers Blog

There are Recent Customer Complaints with Broker Juan Ramirez in Firm MML Investors Services, LLC

June 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Ramirez (Ramirez), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ramirez 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 $34,858.92 on February 04, 2026.

The client alleges that when she was making the decision to consolidate variable annuities held at other companies, the representative did not properly disclose surrender charges and other expenses.

There are Recent Customer Complaints with Broker Zachary Abraham in Firm Abraham & Co., INC.

June 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Abraham (Abraham), previously associated with Abraham & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Abraham 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 $700,000.00 on January 17, 2026.

Customers allege in 2018-2023 IAR made unsuitable recommendations and advice in regard to annuities and stock portfolios and other causes of action.

Broker Scott Robinson in LPL Financial LLC Firm Has Customer Complaint

June 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Robinson (Robinson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Robinson 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 $14,406.37 on February 02, 2026.

Customer alleges misrepresentation involving REIT purchase

Broker Gihan Fernando in Cetera Investment Services LLC Firm Has Customer Complaint

June 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gihan Fernando (Fernando), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fernando 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 $84,000.00 on February 04, 2026.

Complainant alleges that certain features of the product were misrepresented during sales process on or around May 2015.

There are Recent Customer Complaints with Broker Michael Pak in Firm Citigroup Global Markets INC.

June 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Pak (Pak), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Pak 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 $200,000.00 on January 26, 2026.

Claimants allege unsuitability, failure to supervise, breach of fiduciary duty, negligence, and breach of contract in connection with losses suffered in March 2022.

There are Recent Customer Complaints with Broker Damian Baird in Firm Moors & Cabot, INC.

June 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Damian Baird (Baird), previously associated with Moors & Cabot, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Baird 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 $10,000.00 on December 29, 2025.

Client claimed they sent a check to Damian Baird. Client alleges the check was not deposited to the firm and Mr. Baird added his name as a payee to checks and deposited them in his personal bank account

There are Recent Customer Complaints with Broker Robert Ciaccio in Firm Network 1 Financial Securities INC.

June 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Ciaccio (Ciaccio), currently associated with Network 1 Financial Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Ciaccio 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 $7,245.04 on January 08, 2026.

Excessive fees.

Broker Daniel Becraft in Morgan Stanley Firm Has Customer Complaint

June 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Becraft (Becraft), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Becraft 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 $2,000,000.00 on February 06, 2026.

Claimant alleged FA employed unsuitable options trading strategy.

Broker William Hurckes in Ausdal Financial Partners, INC. Firm Has Customer Complaint

June 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hurckes (Hurckes), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hurckes 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 $625,000.00 on January 22, 2026.

Violation of Federal Securities Laws; Violation of IL Securities Law; Violation of IL Consumer Fraud and Deceptive Business Practices Act; Breach of Contract; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence.

There are Recent Customer Complaints with Broker John Pronovost in Firm Osaic Institutions, INC.

June 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Pronovost (Pronovost), previously associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pronovost 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 January 26, 2026.

Customers allege financial professional made reccomendations which were unsuitable for their stated objectives.