Securities Lawyers Blog

There are Recent Customer Complaints with Broker Adriano Pisarri in Firm the Leaders Group, INC.

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adriano Pisarri (Pisarri), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pisarri 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 $15,000.00 on March 13, 2024.

Claimant alleges RR Pisarri made misrepresentations and unsuitable recommendations in connection with a REIT.

Broker Evan Kirkpatrick in LPL Financial LLC Firm Has Customer Complaint

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Kirkpatrick (Kirkpatrick), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirkpatrick 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 $300,000.00 on March 15, 2024.

Customer alleges representative recommended alternative investments that were unsuitable for the customer’s investment profile and risk tolerance.

There are Recent Customer Complaints with Broker Anthony Mesquit in Firm Fidelity Brokerage Services LLC

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Mesquit (Mesquit), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mesquit 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 Eric Marshall in Firm Osaic Wealth, INC.

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Marshall (Marshall), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Marshall 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 March 18, 2024.

Claimant alleges unsuitable recommendation and sale of alternative investment and unauthorized trading in bond portfolio.

There are Recent Customer Complaints with Broker Ashley Woodard in Firm Nylife Securities LLC

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ashley Woodard (Woodard), previously associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Woodard 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.

Broker Jennifer Oprinski in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 15, 2024.

Customer alleges that former FA made a misrepresentation of an annuity contract in 2010 and that current FA failed to correct

There are Recent Customer Complaints with Broker Ronald Kummerer in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Kummerer (Kummerer), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kummerer 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 $315,872.00 on March 15, 2024.

The client alleges an unsuitable investment strategy

Broker Nicholas Franco in Park Avenue Securities LLC Firm Has Customer Complaint

May 27, 2025 | by Staff Attorney

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

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

Plaintiff alleges the RR made unsuitable recommendations when she was advised to transfer her retirement funds to an advisory account and to purchase a Jackson National variable annuity.

There are Recent Customer Complaints with Broker Bradley Lakner in Firm Sunbelt Securities, INC.

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Lakner (Lakner), currently associated with Sunbelt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lakner 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 $100,000.00 on March 13, 2024.

Claimant alleges representative recommended an improper investment strategy and unsuitable investments purchased in 2015 and early 2016. Further the claim alleges that the firm did not conduct adequate due diligence on certain products recommended to client and failed to supervise the representative.

There are Recent Customer Complaints with Broker James Flynn in Firm Ifs Securities

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Flynn (Flynn), previously associated with Ifs Securities, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Flynn 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.