Securities Lawyers Blog

There are Recent Customer Complaints with Broker Steven White in Firm LPL Financial LLC

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven White (White), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that White 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 $26,551.99 on November 29, 2023.

The customer alleges that it was not disclosed to him that his alternative investment was illiquid at the time of purchase in September 2014.

Broker Jeffrey Parker in LPL Financial LLC Firm Has Customer Complaint

June 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 29, 2023.

In November 2023, the customer asked for accounts to be transferred in kind to foreign broker dealer. Assets were liquidated without customer’s authorization.

There are Recent Customer Complaints with Broker Vincent Virga in Firm Madison Avenue Securities, LLC

June 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 29, 2023.

Claimants allege unsuitable recommendations of alternative investments, primarily in NorthStar Healthcare REIT. The dates vary for the numerous claimants listed.

There are Recent Customer Complaints with Broker Carine Smith in Firm Tiaa-cref Individual & Institutional Services, LLC

June 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 05, 2023.

In a written complaint, the client alleges the Firm executed unauthorized transactions by failing to follow investment instructions related to a rollover from her deceased spouse’s account. To resolve the issue, TIAA corrected the transactions and credited the client’s account $156,316.63, an amount equal to potential lost earnings, on December 29, 2023.

Broker Adam Nugent in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

June 24, 2025 | by Staff Attorney

Previously financial advisor Adam Nugent (Nugent), previously employed by brokerage firm Purshe Kaplan Sterling Investments 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 pending customer complaint on November 30, 2023.

Clients allege unsuitable investment and negligence amongst other charges as a result of Mr. Nugent’s decision to invest their money into a private placement called Agronomic.

Broker Tasha Coleman in Osaic Wealth, INC. Firm Has Customer Complaint

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tasha Coleman (Coleman), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Coleman 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 $7,914.00 on November 29, 2023.

Customers allege that the terms of the certificates of deposit were misrepresented.

Broker Gerald Lencke in Harbour Investments, INC. Firm Has Customer Complaint

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Lencke (Lencke), previously associated with Harbour Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lencke 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 $500,000.00 on December 04, 2023.

Beginning in or around 2018, Client alleges breach of contract and warranties, breach of fiduciary duty, negligence and gross negligence, misrepresentation/omission, unjust enrichment, failure to supervise and vicarious & control person liability.

There are Recent Customer Complaints with Broker Pedro Martinez Parsi in Firm UBS Financial Services INC.

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pedro Martinez Parsi (Martinez Parsi), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinez Parsi 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 $483,000.00 on November 29, 2023.

Time frame: Unspecified.\, \, Allegations: Claimants allege their investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Charles Hartley in A.g.p. / Alliance Global Partners Firm Has Customer Complaint

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Hartley (Hartley), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Hartley 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 $2,600,000.00 on December 04, 2023.

Alleges Registered Representative took inappropriate risks purchasing unsuitable investments, overtrading options, and deviating from the investment plan.

There are Recent Customer Complaints with Broker Roger Follis in Firm A.g.p. / Alliance Global Partners

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Follis (Follis), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Follis 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 $2,600,000.00 on December 04, 2023.

Alleges Registered Representative took inappropriate risks purchasing unsuitable investments, overtrading options, and deviating from the investment plan.