Securities Lawyers Blog

Broker Ciro Longobardi 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 Ciro Longobardi (Longobardi), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Longobardi 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.

There are Recent Customer Complaints with Broker Peter Reinecke in Firm Saxony Securities, INC.

June 10, 2025 | by Staff Attorney

Previously financial advisor Peter Reinecke (Reinecke), previously employed by brokerage firm Saxony Securities, INC. 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 $13,000,000.00 on January 04, 2024.

Risky and speculative private placement investments, fraud and negligence

Broker Edward Turley in J.P. Morgan Securities LLC Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Turley (Turley), previously associated with J.P. Morgan Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Turley 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 $5,000,000.00 on January 03, 2024.

Claimant alleges exercise of discretion and unsuitable trading. Activity dates 2011 – 2019.

Broker Michele Savarese in Creativeone Securities, LLC Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michele Savarese (Savarese), currently associated with Creativeone Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Savarese 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 January 03, 2024.

Breach of fiduciary duty and account negligence

There are Recent Customer Complaints with Broker Joseph Ward in Firm Northwestern Mutual Investment Services, LLC

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Ward (Ward), currently associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ward recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 08, 2024.

Time Frame: October 16th 2023 to October 23rd 2023 What were the allegations against the individual? Client verbally alleged the instruction to tender his shares in his stock option account were not followed or actioned.

Broker Ridge Goodwin in Nylife Securities LLC Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 10, 2024.

Customer alleges the Variable Universal Life Insurance policy he purchased in December 2021 was originally understood to be an investment that would provide growth rather than an insurance policy with a high premium, Based on his current understanding, customer now requests a refund of premium.

Broker Logan Cox in Cabin Securities, INC. Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Logan Cox (Cox), currently associated with Cabin Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 $205,000.00 on January 09, 2024.

Client alleges registered representative recommended an unsuitable investment.

There are Recent Customer Complaints with Broker Drew Nickle in Firm Truist Investment Services, INC.

June 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 06, 2024.

Client alleges the representative failed to follow instructions regarding placing an equity trade on November 20, 2023.

There are Recent Customer Complaints with Broker David Dahill in Firm Realized Financial, INC.

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Dahill (Dahill), currently associated with Realized Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dahill 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.

Allegations that due diligence information provided to claimants was false, misleading, and failed to fully and properly information the claimants of the risks involved in investing in skyloft dst, and breach of fiduciary duty by withholding information described in the first allegation.

Broker Avi Bialo in Arete Wealth Management, LLC Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Avi Bialo (Bialo), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bialo 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 January 08, 2024.

Client alleges registered representative recommended an unsuitable investment.