Securities Lawyers Blog

Broker Antonio Almeida in Worden Capital Management LLC Firm Has Customer Complaint

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antonio Almeida (Almeida), previously associated with Worden Capital Management LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Almeida 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 $106,882.07 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimant(s) allege unsuitable investment recommendations.

Broker Chadwick Carrick in the Jeffrey Matthews Financial Group, L.l.c. Firm Has Customer Complaint

February 19, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Chadwick Carrick (Carrick), currently associated with the Jeffrey Matthews Financial Group, L.l.c., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Carrick concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on April 29, 2021.

Plaintiffs allege negligence, failure to supervise, excessive trading, churning, and breach of fiduciary duty

There are Recent Customer Complaints with Broker James Horst in Firm Osaic Wealth, INC.

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Horst (Horst), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Horst 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 April 28, 2021.

The Claimant alleges that the registered representative recommended an investment that was unsuitable.

Broker Brian Grumbach in Hightower Securities, LLC Firm Has Customer Complaint

February 19, 2026 | by Staff Attorney

Previously financial advisor Brian Grumbach (Grumbach), previously employed by brokerage firm Hightower Securities, LLC 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 settled customer complaint with a damage request of $250,000.00 on April 27, 2021.

Brian Grumbach is the subject of a FINRA arbitration alleging certain sales practice violations, including a violation of suitability obligations, in connection with a private placement investment made on or around March 2017, currently required to be disclosed pursuant to FINRA guidance.

There are Recent Customer Complaints with Broker Sean Kiltau in Firm Wells Fargo Clearing Services, LLC

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Kiltau (Kiltau), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kiltau 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 $99,000.00 on April 30, 2021.

Claimants allege that, during an unspecified time range, their Financial Advisor made unsuitable recommendations to them.

Broker Frank Giancola in Traderfield Securities INC. Firm Has Customer Complaint

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Giancola (Giancola), previously associated with Traderfield Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Giancola 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 $19,510.00 on April 30, 2021.

Clinet clains that he was charged to much commission two years after he confirmed trades

There are Recent Customer Complaints with Broker Michael Momper in Firm Osaic Wealth, INC.

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Momper (Momper), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Momper 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 $150,000.00 on May 03, 2021.

Clients allege suitability issues in alternative investment purchases

Broker Scott Krizner in LPL Financial LLC Firm Has Customer Complaint

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Krizner (Krizner), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Krizner 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 $33,204.60 on April 30, 2021.

Alleged loss of investment income, unnecessary taxes and penalties.

There are Recent Customer Complaints with Broker Daniel Holman in Firm Cambridge Investment Research, INC.

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Holman (Holman), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Holman 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 $495,000.00 on April 29, 2021.

Clients allege misrepresentation of unsuitable products.

Broker Louis Rodriguez Nader in First Southern, LLC Firm Has Customer Complaint

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis Rodriguez Nader (Rodriguez Nader), currently associated with First Southern, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez Nader 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 $440,000.00 on April 28, 2021.

Client alleges over-concentration, unsuitability, breach of fiduciary duty, violations of securities laws and rules, breach of contract, negligence, fraud, false inducement to inaction, negligent supervision (Puerto Rico closed-end funds). Includes request for rescission, punitive damages, interest, costs, fees.