Securities Lawyers Blog

Broker Charles Wareham in Independent Financial Group, LLC Firm Has Customer Complaint

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Wareham (Wareham), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wareham 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 $5,000.01 on March 12, 2024.

Allege that investments were not suitable and were not in line with their investment objectives.

There are Recent Customer Complaints with Broker Claud Haws in Firm Purshe Kaplan Sterling Investments

May 28, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Claud Haws (Haws) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Haws was employed by Purshe Kaplan Sterling Investments at the time of the activity. If you have been a victim of Haws’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $4,472,093.00 on March 12, 2024.

Client alleges sales practice violation in connection with investment in private investment vehicle.

Broker Adam Nieto in Sorrento Pacific Financial, LLC Firm Has Customer Complaint

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Nieto (Nieto), currently associated with Sorrento Pacific Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nieto 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 March 12, 2024.

Unsuitable Recommendation

There are Recent Customer Complaints with Broker Sanford Schmidt in Firm the Leaders Group, INC.

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sanford Schmidt (Schmidt), currently associated with the Leaders Group, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Schmidt 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 $1,000,000.00 on March 12, 2024.

Client invested in a 12% interest bearing note paying 1% per month in June 2021. In January 2023 client renewed the notes. In December 2023, CUMF company filed for bankruptcy, defaulted on payment.

Broker Jeffrey Scott in Geneos Wealth Management, INC. Firm Has Customer Complaint

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Scott (Scott), currently associated with Geneos Wealth Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Scott 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 $10,000.00 on March 11, 2024.

Client alleges that Representative made an unsuitable recommendation of two investments the client purchased at Next Financial.

There are Recent Customer Complaints with Broker Caleb Miranda in Firm Equitable Advisors, LLC

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Caleb Miranda (Miranda), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miranda 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 $139.30 on March 13, 2024.

Client contacted the service center and alleged that EQH Advisor electronically signed her name to documents related to opening a TSA application without her knowledge, consent or authority.

Broker Candace Huston in Fidelity Brokerage Services LLC Firm Has Customer Complaint

May 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $49,950.00 on March 14, 2024.

Customer alleges receiving incorrect information prior to agreeing to a managed account solution.

There are Recent Customer Complaints with Broker Richard Salinas in Firm Avantax Investment Services, INC.

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Salinas (Salinas), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Salinas 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 March 13, 2024.

Customer questioned suitability of his market-linked CD purchase based upon maturity date of the instrument.

There are Recent Customer Complaints with Broker Bradley Frisk in Firm Raymond James Financial Services, INC.

May 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 14, 2024.

Arbitration: Claimants allege that in or about February 2022, the financial advisor recommended they take out a loan through their investment account to pay off a building mortgage and the financial advisor made poor investment choices Complaint: Attorney for two linked entities complained the financial advisor invested funds without authorization and advised using a loan against securities, resulting in losses. (9/14/2022-6/30/2023).

There are Recent Customer Complaints with Broker Pamela Lizanich in Firm Nylife Securities LLC

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamela Lizanich (Lizanich), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lizanich 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 $499,999.00 on March 14, 2024.

Claimants allege the Representative recommended illiquid, complex and unsuitable alternative investments. Further, claimant alleges that representative altered forms and made materially false and misleading statements regarding the investments.