Securities Lawyers Blog

There are Recent Customer Complaints with Broker Joseph Badolato in Firm Key Investment Services LLC

October 23, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Joseph Badolato (Badolato), currently employed by Key Investment Services LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Badolato’s most recent customer complaint alleges that Badolato recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $82,000.00 on December 28, 2022.

The complaint was received by the firm as a direct arbitration claim filing. Through statement of claim, client alleges misrepresentation by the RR in the March 2021 purchase of a structured CD in the amount of $82,000.00.

There are Recent Customer Complaints with Broker Tony Esses in Firm Snowden Account Services LLC

October 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 21, 2022.

Arbitration: \<char_lb_r>\, Claimant alleges that due to the FA negligence, at least $2,345,898.00 was fraudulently transferred from the Claimant’s accounts to accounts in an unrelated outside third party’s name. \<char_lb_r>\, \<char_lb_r>\, Litigation:Plaintiff alleges that contrary to their fiduciary duties of care, loyalty, good faith and disclosure, the FA and his wife assisted an unrelated outside third party hired by Plaintiff in misappropriating Plaintiff’s funds.

There are Recent Customer Complaints with Broker Michael Coldwell in Firm Edward Jones

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Coldwell (Coldwell), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Coldwell 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 $75,000.00 on December 27, 2022.

Client alleges she did not authorize FA to purchase CDs in her account, nor did she approve fees associated with the purchases.

Broker Mary Masters in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Masters (Masters), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Masters 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 $450,000.00 on December 28, 2022.

Claimant alleges negligence and failure to supervise.

There are Recent Customer Complaints with Broker Paul Meyer in Firm RBC Capital Markets, LLC

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Meyer (Meyer), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 $250,000.00 on December 23, 2022.

Customer alleges that FA failed to follow instructions regarding sale of stocks

Broker William Moening in RBC Capital Markets, LLC Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 22, 2022.

Arbitration: Claimant alleges his FA made unsuitable and unauthorized investments in contrast with Claimant’s stated investment objectives and strategy. \, \, Complaint: Client complains that financial advisor represented that investments were conservative liquid instruments, whereas they lost significant value and were subject to a contingent deferred sales charge. (11/23/2020-7/5/2022)

Broker Brian Voss in LPL Financial LLC Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Voss (Voss), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Voss 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 $128,000.00 on December 23, 2022.

Claimant alleges that respondent recommended unsuitable investments.

There are Recent Customer Complaints with Broker Richard Oneal in Firm Osaic Wealth, INC.

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Oneal (Oneal), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Oneal 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 $30,000.00 on December 30, 2022.

Customer alleges that representative’s recommendation to redeem fixed annuity and invest in mutual funds was misrepresented and unsuitable.

Broker Jack Newhouse in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Newhouse (Newhouse), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Newhouse recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 27, 2022.

The client alleges misrepresentation and unsuitable investment recommendations related to a variable annuity purchase.

Broker Nancy Hecht in Fortune Financial Services, INC. Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Hecht (Hecht), currently associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hecht 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 $68,000.00 on December 19, 2022.

Failure to follow customers instructions for liquidation of securities on June 14, 2022.