Securities Lawyers Blog

Broker Victor Furniss in Cetera Investment Services LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Victor Furniss (Furniss), currently employed by Cetera 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), Furniss’s most recent customer complaint alleges that Furniss 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 $100,000.00 on February 06, 2023.

Claimant alleges that their portfolio was overconcentrated in an unsuitable structured note and also that the risks and liquidity were misrepresented.

There are Recent Customer Complaints with Broker Rami Sassoon in Firm LPL Financial LLC

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rami Sassoon (Sassoon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sassoon 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 $300,000.00 on February 02, 2023.

Claimants allege they were recommended and overconcentrated in unsuitable investments.

Broker Brandon Bowman in Ameritas Investment Company, LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Bowman (Bowman), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowman 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 $300,000.00 on February 02, 2023.

Claimant alleges they were recommended and overconcentrated in unsuitable investments.

Broker Martin Brooks in United Planners’ Financial Services of America A Limited Partner Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Brooks (Brooks), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Brooks 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 $350,000.00 on February 01, 2023.

Claimant alleges breach of fiduciary duty, breach of contract, and misrepresentation.

Broker James Couture in LPL Financial LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker James Couture (Couture) 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 Couture was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Couture’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on February 06, 2023.

Customer alleges misappropriation of funds between January 2011 and January 2020

There are Recent Customer Complaints with Broker Donald Deans in Firm Patrick Capital Markets, LLC

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Deans (Deans), previously associated with Patrick Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Deans 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 February 03, 2023.

Failed to conduct a reasonable due diligence, disclose material facts and misrepresentation.

Broker William Friedman in Pinnacle Investments, LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 06, 2023.

Unsuitability, Common Law Fraud, Breach of Fiduciary Duty, Negligent Supervision, Breach of Contract.

There are Recent Customer Complaints with Broker Christopher Hartman in Firm Kovack Securities INC.

September 22, 2025 | by Staff Attorney

Previously financial advisor Christopher Hartman (Hartman), previously employed by brokerage firm Kovack Securities INC. has been subject to at least 3 disclosable events. These events include 3 customer complaints. 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 on February 04, 2023.

Claimants allege that they were recommended unsuitable REITs.

There are Recent Customer Complaints with Broker Louis Nemeth in Firm LPL Financial LLC

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis Nemeth (Nemeth), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nemeth 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 February 06, 2023.

Clients allege an unsuitable and unauthorized investment in a penny stock. Activity occurred on August 5, 2022.

Broker Cynthia Couyoumjian in Independent Financial Group, LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Couyoumjian (Couyoumjian), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Couyoumjian 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 $136,900.00 on February 06, 2023.

Allege investment was not suitable.