Securities Lawyers Blog

Broker Clark Harris in Aurora Securities Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clark Harris (Harris), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Harris 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 $143,366.00 on June 10, 2022.

Per Sigma Financial Corporation, the client filed a demand letter alleging that between 2010 – 2015, the representative made unsuitable recommendations and encouraged the customer to invest in a non-traded direct participation program (DPP) and a REIT. The claim further alleges the representative did not have the required securities registration to make the recommendation and that the firm failed to adequately supervise the representative.

Broker Alan Friedman in Equitable Advisors, LLC Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Alan Friedman (Friedman), currently employed by Equitable Advisors, 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), Friedman’s most recent customer complaint alleges that Friedman 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 on June 10, 2022.

Client alleges RR sold them unsuitable structured notes in 2021.

Broker Angela Schueman in LPL Financial LLC Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Schueman (Schueman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schueman 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 $93,231.00 on June 08, 2022.

Claimant alleges representative’s recommendation to withdraw funds from an annuity caused Claimant financial harm. Time period: August 2018 to July 2020.

There are Recent Customer Complaints with Broker Scott Wolfrum in Firm Huntleigh Securities Corporation

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Wolfrum (Wolfrum), previously associated with Huntleigh Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wolfrum 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 June 08, 2022.

Client alleges inadequate due diligence for 2015 investment.

There are Recent Customer Complaints with Broker Marc Fragola in Firm Kestra Investment Services, LLC

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Fragola (Fragola), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fragola 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 $46,000.00 on June 10, 2022.

Fragola recommended a variable annuity with a 7% roll-up rate to the clients based on information he received from a representative of the insurance company. Although, he conducted due diligence with the insurance company annually for 10 years to confirm the terms of the annuity he was unaware that the 7% compounding would only last for 10 years.

There are Recent Customer Complaints with Broker William Gamble in Firm Truist Investment Services, INC.

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 09, 2022.

CLAIMANT ALLEGES UNAUTHORIZED TRANSACTIONS REGARDING TWO CORPORATE BONDS WHICH RESULTED THE BONDS BEING LIQUIDATED AND THE PROCEEDS BEING TRANSFERRED TO AN UNKNOWN ACCOUNT.

Broker Michael Disilvio in Raymond James Financial Services, INC. Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on June 06, 2022.

Claimant alleges his mother took inappropriate withdrawals from a custodial account held for Claimant’s benefit. Claimant’s mother filed a third party complaint alleging that to the extent the withdrawals were inappropriate and the Firm approved the withdrawals.

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

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Arnall (Arnall), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Arnall recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 10, 2022.

Breach of fiduciary duty, suitability, misrepresentation, omitted information, violated FINRA Rules 2010, IM-2310-2 and 2020, fraudulent inducement, and breach of contract.

There are Recent Customer Complaints with Broker Chandler Altman in Firm Truist Investment Services, INC.

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chandler Altman (Altman), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Altman 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 $85,000.00 on June 16, 2022.

Through his attorney, the customer alleges that the Financial Advisor modified his qualified retirement accounts into non-qualified accounts, which resulted in unforeseen tax consequences.

Broker Steven Simons in Thrivent Investment Management INC. Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Simons (Simons), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Simons 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 $40,246.92 on June 13, 2022.

Client alleged the fixed immediate annuity purchased in May 2021 was not his best option.