Securities Lawyers Blog

There are Recent Customer Complaints with Broker Hugo Hernandez in Firm MML Investors Services, LLC

April 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $23,000.00 on June 25, 2024.

The complainant alleges that on/or about January 29, 2024, he met with the registered representative, regarding investing in an alternative investment, and then paid the registered representative $20,000 on/or about February 16, 2024, with the agreement, that he would be paid back within 90 days, with a 15% return. The complainant says that as of June 25, 2024, he has not been paid back, and the checks given to the complainant have bounced, totaling $23,000 and feels this is a misappropriation of investment funds.

Broker Juan Gauna in Nylife Securities LLC Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on June 25, 2024.

Respondent Gauna failed to respond to FINRA requests for information.

Broker Luis Corrales in Park Avenue Securities LLC Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on June 21, 2024.

Claimant alleges the RR recommended she invest in three separate private investments that she believed were approved by the Firm.

There are Recent Customer Complaints with Broker John Doiron in Firm Cabot Lodge Securities LLC

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Doiron (Doiron), currently associated with Cabot Lodge Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Doiron 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 $150,000.00 on June 26, 2024.

Claimants allege breach of fiduciary duty, violation of various FINRA Rules, material misrepresentation and material omission of Information, various violations of state securities laws, common law fraud, and common law negligence, failure to supervise, breach of contract with regards to the purchase of GWG L-bonds during February 2021.

There are Recent Customer Complaints with Broker Timothy Jefferson in Firm Aegis Capital Corp.

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Jefferson (Jefferson), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Jefferson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on June 24, 2024.

Respondent Jefferson failed to respond to FINRA requests for information.

Broker Debra Biosca in Arkadios Capital Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Debra Biosca (Biosca), currently associated with Arkadios Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Biosca 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 $100,000.00 on June 25, 2024.

Was communicating with investors of unsuitable securities

There are Recent Customer Complaints with Broker Sheree Ziemba in Firm Ameriprise Financial Services, LLC

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sheree Ziemba (Ziemba), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ziemba 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 $15,143.81 on June 21, 2024.

The client alleged that the advisor did not update the beneficiaries on the RiverSource RAVA 5 Select variable annuity per the client’s instructions.

Broker Jonathan Barter in UBS Financial Services INC. Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Barter (Barter), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Barter 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 $18,000,000.00 on June 25, 2024.

Time frame: 2020-2024\, Allegations: Claimant alleges his financial advisor made an unsuitable recommendation to invest in municipal bonds.

Broker Nicholas Tsikitas in Aegis Capital Corp. Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 25, 2024.

Claimants allege unsuitable investments.

There are Recent Customer Complaints with Broker Brian Sodol in Firm Citigroup Global Markets INC.

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Sodol (Sodol), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Sodol 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 $1,600,000.00 on June 21, 2024.

Claimant alleges that his financial advisor, Brian Sodol, failed to timely execute the sale of $1.6 million-worth of subscription rights in a certain company’s stock before the rights expired. Customer alleges the failure amounted to breach of fiduciary duty, negligence, and negligent supervision by Citigroup Global Markets Inc. Claimant also seeks to hold Mr. Sodol personally liable for negligence. Claimant seeks $1.6 million in compensation, plus interest, costs, disgorgement of commissions and punitive damages.