Securities Lawyers Blog

There are Recent Customer Complaints with Broker Yanette Sullivan in Firm Truist Investment Services, INC.

September 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yanette Sullivan (Sullivan), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 $110,000.00 on July 18, 2025.

Client alleges that representative purchased an immediate annuity that was unsuitable and without a death benefit.

There are Recent Customer Complaints with Broker Mark Schweizer in Firm Charles Schwab & Co., INC.

September 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Schweizer (Schweizer), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Schweizer 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 $64,566.85 on July 09, 2025.

The client alleges the representative provided unsatisfactory advice by recommending an investment strategy to offset capital gains that resulted in an unexpected $73,514.74 tax liability.

There are Recent Customer Complaints with Broker Samuel Frankfort in Firm Rockefeller Financial LLC

September 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Frankfort (Frankfort), previously associated with Rockefeller Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Frankfort recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on July 08, 2025.

Respondent Frankfort failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Joseph Amato in Alexander Capital, L.p. Firm Has Customer Complaint

September 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 14, 2025.

Breach of Fiduciary Duty; Aiding and Abetting; Negligence (Failure to Supervise). Violations of Georgia State Laws.

Broker William Hurckes in Ausdal Financial Partners, INC. Firm Has Customer Complaint

September 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hurckes (Hurckes), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hurckes 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 $77,515.00 on July 21, 2025.

Breach of Fiduciary Duty; Failure to conduct reasonable due diligence.

Broker William Grundig in Kestra Investment Services, LLC Firm Has Customer Complaint

September 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 21, 2025.

Customer alleges that certain stocks in her portfolio were unsuitable.

There are Recent Customer Complaints with Broker Rocco Guidicipietro in Firm Alexander Capital, L.p.

September 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 14, 2025.

Breach of Fiduciary Duty; Aiding and Abetting; Negligence (Failure to Supervise). Violations of Georgia State Laws.

Broker Zwi Pechthalt in Edward Jones Firm Has Customer Complaint

September 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 15, 2025.

The client alleges the financial advisor invested in a marijuana company against the client’s goals and preferences.

There are Recent Customer Complaints with Broker Randy Birkinbine in Firm Ausdal Financial Partners, INC.

September 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Birkinbine (Birkinbine), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Birkinbine 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 $75,000.00 on March 24, 2025.

Breach of written contracts; Breach of fiduciary duty; Failure to supervise; negligence and gross negligence.

Broker William Bredt in Raymond James & Associates, INC. Firm Has Customer Complaint

September 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 16, 2025.

Client alleges he relied on representations that failed to account for the alleged weakness and structural defects in private investment.