Securities Lawyers Blog

There are Recent Customer Complaints with Broker Daniel Silverberg in Firm UBS Financial Services INC.

May 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Silverberg (Silverberg), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Silverberg 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 $1,127,695.79 on March 28, 2025.

Time frame: 2021-2024 \, \, Allegations: Claimant alleges he should have been advised to satisfy his securities backed loan balance in 2021. He further alleges his securities accounts were invested too aggressively resulting in large losses that impeded his ability to support the loan and continue investing.

There are Recent Customer Complaints with Broker Michael Chauvenet in Firm Centaurus Financial, INC.

May 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Chauvenet (Chauvenet), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chauvenet 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 $1,500,000.00 on March 27, 2025.

The customer alleges that in 2013 through 2023, the Registered Representative recommended unsuitable, illiquid investments.

There are Recent Customer Complaints with Broker Dean Nowak in Firm Newbridge Securities Corporation

May 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Nowak (Nowak), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Nowak 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 $50,000.00 on March 28, 2025.

Breach of fiduciary duty, negligence, and negligent supervision.

There are Recent Customer Complaints with Broker Joshua Shipley in Firm Dominari Securities LLC

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Shipley (Shipley), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shipley 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 $1,000,000.01 on April 01, 2025.

Misallocated shares of an IPO.

There are Recent Customer Complaints with Broker Ryan Barnhill in Firm LPL Financial LLC

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Barnhill (Barnhill), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barnhill 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 $70,000.00 on April 03, 2025.

Client alleges his former financial advisor made a series of unauthorized transactions selling his equities and treasury securities, and purchasing a new stock without his authorization. Client alleges this caused his portfolio value to significantly decrease.

Broker Aaron Rask in MML Investors Services, LLC Firm Has Customer Complaint

May 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 02, 2025.

Customer alleges the Variable Annuity policies she purchased in December 2020 and April 2021, respectively, were not clearly understood and does not believe these were the right investments.

There are Recent Customer Complaints with Broker Robert Romain in Firm Corecap Investments, LLC

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Romain (Romain), currently associated with Corecap Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Romain 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 $202,145.70 on April 01, 2025.

Due to a family emergency, Rep was called away from the office and was not able to purchase shares of stock requested by the clients on the requested day resulting in a financial loss when the share price rose. Despite best efforts to mitigate the financial loss on the following day by purchasing and selling the stock for a profit, the clients still experienced a financial loss sought financial compensation via the firm’s E&O policy.

Broker Henrique Lucena in Laidlaw & Company (UK) Ltd. Firm Has Customer Complaint

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henrique Lucena (Lucena), currently associated with Laidlaw & Company (UK) Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Lucena 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 April 01, 2025.

Claimant alleges unauthorized, unsuitable and negligent investment recommendations from 2021-2024

Broker Christopher Kirkland in Avantax Investment Services, INC. Firm Has Customer Complaint

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kirkland (Kirkland), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kirkland 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 $190,000.00 on April 02, 2025.

Customers alleged the investments they purchased were not suitable.

Broker Najat Rhoni in Dominari Securities LLC Firm Has Customer Complaint

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Najat Rhoni (Rhoni), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rhoni 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 $1,000,000.01 on April 01, 2025.

Misallocation of an IPO.