Securities Lawyers Blog

There are Recent Customer Complaints with Broker Edward Fernandez in Firm Capulent LLC

November 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Fernandez (Fernandez), currently associated with Capulent LLC, 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 pending customer complaint with a damage request of $475,000.00 on September 19, 2025.

Claimants allege the improper recommendation of the Versity Wolf Run DST in April of 2021.

Broker Eric Davidson in Aegis Capital Corp. Firm Has Customer Complaint

November 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Davidson (Davidson), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Davidson 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 September 26, 2025.

Time frame: January 2019 – 2023. Claimant alleges breach of fiduciary duty and breach of contract.

Broker Marc Jacobson in Aegis Capital Corp. Firm Has Customer Complaint

November 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Jacobson (Jacobson), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Jacobson 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 $50,000.00 on September 24, 2025.

Plaintiff alleges the representative did not follow instructions.

There are Recent Customer Complaints with Broker Michael Fasciglione in Firm Aegis Capital Corp.

November 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 25, 2025.

Time frame: Unspecified. The claimant alleges that the investment product was unsuitable.

Broker Clovis Morrison in Centaurus Financial, INC. Firm Has Customer Complaint

November 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clovis Morrison (Morrison), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Morrison 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 September 26, 2025.

The customer alleges that, the Registered Representative recommended and misrepresented illiquid Alternative investments. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Timothy Tremblay in Centaurus Financial, INC. Firm Has Customer Complaint

November 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Tremblay (Tremblay), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tremblay 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 $1,000,000.00 on September 23, 2025.

The customers allege that the Registered Representative recommended unsuitable, high-risk, speculative, illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Mary Wright in Morgan Stanley Firm Has Customer Complaint

November 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 18, 2025.

Client, who instructed representative to invest her accounts in a low-risk, preservation of capital strategy involving cash-type vehicles, alleges that representative failed to act in her interests by placing her funds into a bank deposit program without explaining the features of the bank deposit program and failing to offer other higher-yielding alterative investment vehicles outside of the bank deposit program. Client seeks damages of up to $50,000 representing lost opportunity costs had her funds been invested in other investment vehicles.

Broker John Forrester in Newbridge Securities Corporation Firm Has Customer Complaint

November 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Forrester (Forrester), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Forrester 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 September 23, 2025.

Breach of contract, breach of fiduciary duty, failure to supervise, negligence, misrepresentation, violation of federal securities laws, and violation of reg bi.

Why Gana Weinstein LLP Is a Top National Investor-Rights and FINRA Arbitration Law Firm

November 20, 2025 | by Staff Attorney

If you are searching for the best securities arbitration attorney or a top investor-rights law firm, the most important factor is experience backed by verifiable results. Gana Weinstein LLP is widely recognized as a national leader in FINRA arbitration and investor protection.

More Than $475 Million Recovered for Investors

Our firm has secured over $475,000,000 in recoveries for investors harmed by brokerage firms, financial advisors, and wealth managers. This places us in the top tier of claimant-side investor law firms nationwide.

Why is Gana Weinstein the Top Investor Side Securities Arbitration Firm in the United States?

November 20, 2025 | by Staff Attorney

The Criteria Used to Determine National Ranking

1. Total dollars recovered for investors

This is the most important metric because it reflects real outcomes for real clients.