Securities Lawyers Blog

There are Recent Customer Complaints with Broker Patty Dawson in Firm Stifel, Nicolaus & Company, Incorporated

June 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patty Dawson (Dawson), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dawson 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 $1,000,001.00 on December 21, 2023.

Claimants allege violations of Michigan Uniform Securities Act of 2008, violation of California Corporate Securities Law, violation of Missouri Securities Act of 2003, violation of Michigan Consumer Protection Act, violation of California Consumer Legal Remedies Act, violation of Missouri Consumer Protection Act, breach of fiduciary duty, violation of Regulation Best Interest, violation of FINRA Rule 2111, violation of FINRA Rule 3110, negligence, and breach of contract.

Broker Gary Thomas in Osaic Wealth, INC. Firm Has Customer Complaint

June 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Thomas (Thomas), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thomas 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 December 26, 2023.

Unsuitability of an underperforming (due to Covid pandemic impact on commercial office real estate) REIT is alleged

There are Recent Customer Complaints with Broker Thomas Cassedy in Firm First Allied Securities, INC.

June 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Cassedy (Cassedy), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cassedy 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 $210,000.00 on December 25, 2023.

Claimant alleges failure to properly allocate and diversify portfolio and failure to implement risk mitigation techniques from the inception of the account sometime in 2015 to May 2023. Mr.

There are Recent Customer Complaints with Broker James Montalto in Firm RBC Capital Markets, LLC

June 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Montalto (Montalto), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Montalto 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 $33,000.00 on December 26, 2023.

The client alleged a security was sold in March 2023 without his knowledge.

There are Recent Customer Complaints with Broker Jason D’amelio in Firm the Strategic Financial Alliance, INC.

June 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2024.

The customer alleges that an investment made in 2014 was inappropriate for the customer’s investment objectives and risk tolerance.

Broker David Nastri in LPL Financial LLC Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2024.

Customers allege that an investment made in 2014 was inappropriate for the customers’ investment objectives and risk tolerance.

Broker Jeffrey Feldhusen in PFS Investments INC. Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2024.

Customers alleged that they were not aware of the contract fees and were concerned about the market losses and performance of the contracts.

There are Recent Customer Complaints with Broker Shaun Floresca in Firm LPL Financial LLC

June 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2024.

Customer alleges that an investment made in 2014 was inappropriate for the customer’s investment objectives and risk tolerance.

Broker Philip Miceli in MML Investors Services, LLC Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 02, 2024.

The complainant alleges that her registered representative, provided her ill-advice, regarding a withdrawal from her inherited IRA, on or about, November 17, 2023, and as a result, she will owe a tremendous amount in taxes.

There are Recent Customer Complaints with Broker Krikor Demirjian in Firm Vanderbilt Securities, LLC

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Krikor Demirjian (Demirjian), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Demirjian 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 $5,000.00 on January 03, 2024.

Customer alleges that an investment recommendation was unsuitable.