Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jennifer Oprinski in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

June 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Oprinski (Oprinski), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Oprinski recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 19, 2024.

Customer alleges that former FA made a misrepresentation of an annuity contract in 2010 and that current FA failed to correct

Broker Benjamin Felicelli in Equitable Advisors, LLC Firm Has Customer Complaint

June 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 23, 2024.

Customer alleges RR Felicelli made unsuitable recommendations in connection with a variable annuity purchased in 2013.

There are Recent Customer Complaints with Broker Gregory Covalt in Firm Cambridge Investment Research, INC.

June 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Covalt (Covalt), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Covalt 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 $425,000.00 on February 07, 2025.

Client alleges RR processed unauthorized withdrawals on IRA account without prior consent.

There are Recent Customer Complaints with Broker Kim Monchik in Firm Spartan Capital Securities, LLC

June 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 13, 2025.

Failure to Supervise

Broker Robert Larsen in Creativeone Securities, LLC Firm Has Customer Complaint

June 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Larsen (Larsen), currently associated with Creativeone Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Larsen 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 $112,000.00 on March 05, 2024.

Consumer claims best interest was not considered when placing monies into annuity

Broker Mark Vanderhagen in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

June 19, 2025 | by Staff Attorney

Previously financial advisor Mark Vanderhagen (Vanderhagen), previously employed by brokerage firm Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $115,000.00 on March 05, 2024.

The client alleges that his advisor misrepresented the liquidity of a private placement purchase (HatterasFunds). 03/16/2010 – 03/05/2024

There are Recent Customer Complaints with Broker Mitchell Swayze in Firm Morgan Stanley

June 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 08, 2024.

Claimant alleges, inter alia, misrepresentation with respect to Liquidity Access Line – 2021 to 2023

There are Recent Customer Complaints with Broker Jake Long in Firm UBS Financial Services INC.

June 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 14, 2025.

Time Frame: March 7th, 2025 to March 14th, 2025\, \, What were the allegations against the individual? The Executor of the account alleges the Financial Advisor failed to follow his instructions by not liquidating the account.

There are Recent Customer Complaints with Broker Rong Zhang in Firm HSBC Securities (usa) INC.

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rong Zhang (Zhang), currently associated with HSBC Securities (usa) INC., has at least one disclosable event. These events include one customer complaint, alleging that Zhang 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 April 29, 2025.

Client alleges RR did not disclose that the bonds they purchased had multiple call dates at point of sale in April of 2024.

Broker Matthew Mcfarland in Fnex Capital, LLC Firm Has Customer Complaint

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Mcfarland (Mcfarland), currently associated with Fnex Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcfarland 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 $570,000.00 on May 20, 2025.

From investment activity in January and February 2020, claimants allege the following: negligence, misrepresentation, omission, breach of contract, lack of suitability, breach of fiduciary duty, elder abuse