Securities Lawyers Blog

There are Recent Customer Complaints with Broker Matthew Romeo in Firm Mid Atlantic Capital Corporation

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Romeo (Romeo), previously associated with Mid Atlantic Capital Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Romeo 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 $500,000.00 on December 28, 2023.

In August 2014, Claimant opted to invest in a Real Estate Investment Trust contrary to Mr. Romeo’s recommendation that he invest in a diversified portfolio of stocks and bonds. Claimant was seeking a source of income and he liked and understood real estate. Claimant’s investment has not met his expectations and he now alleges the REIT was misrepresented and was unsuitable for him.

There are Recent Customer Complaints with Broker Vincent Pallitto in Firm LPL Financial LLC

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Pallitto (Pallitto), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pallitto 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 Christopher Baughan 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 Christopher Baughan (Baughan), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baughan 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 2013 was inappropriate for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Kalen Baxter in Firm LPL Financial LLC

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kalen Baxter (Baxter), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baxter 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 investments made in 2014 were inappropriate for the customer’s

Broker Damian Maggio in Joseph Stone Capital L.l.c. Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Damian Maggio (Maggio), currently associated with Joseph Stone Capital L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Maggio 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 $350,000.00 on January 03, 2024.

Failure to supervise

There are Recent Customer Complaints with Broker John Lynde in Firm Cetera Advisors LLC

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lynde (Lynde), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lynde 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 Shane Siederman in the Strategic Financial Alliance, INC. Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Siederman (Siederman), currently associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that Siederman 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 Rene Castro in Great Point Capital LLC Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rene Castro (Castro), currently associated with Great Point Capital LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Castro 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 $32,000.00 on January 03, 2024.

Claimant Trust alleges it was not suitable for the GWG L Bonds sold to it by Mr. Castro, acting as a registered representative of Great Point Capital, the Broker Dealer.

Broker Richard Bingaman in Robert W. Baird & CO. Incorporated Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Bingaman (Bingaman), currently associated with Robert W. Baird & CO. Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Bingaman 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 $175,000.00 on January 02, 2024.

Client alleges that funds were transferred from her account to pay off a debt without her authorization.

There are Recent Customer Complaints with Broker Anthony Marciano in Firm LPL Financial LLC

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Marciano (Marciano), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marciano 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 2013 was inappropriate for the customer’s investment objectives and risk tolerance.