Securities Lawyers Blog

Broker Richard Cardinale in PHX Financial, INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 01, 2024.

Claimant alleges he was a victim of fraudulent private investments with counts of unsuitability, negligent supervision, common law fraud, breach of contract, breach of fiduciary duty and failure to warn.

Broker Luke Schunk in Moloney Securities Co., INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luke Schunk (Schunk), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Schunk 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 $50,000.00 on June 27, 2024.

Suitability/negligence. 2020

Broker Mark Rubin in Raymond James & Associates, INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 28, 2024.

Customer alleges FA sold certain stock that customer instructed FA not to sell and that FA then bought some back without consulting customer. Allegation Activity Dates: 2/8/24 – 6/28/24.

Broker William Carlton in Aegis Capital Corp. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Carlton (Carlton), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Carlton 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 $1,033,816.09 on June 28, 2024.

Client alleges the recommendation of unsuitable ETFs from 4/03/2023 to 1/24/2024.

Broker Chris Volk in Ameritas Investment Company, LLC Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Volk (Volk), previously associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Volk 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 $35,000.00 on June 27, 2024.

Civil action in which plaintiff alleges misrepresentation and omission of material information in the sale of a variable life insurance policy.

There are Recent Customer Complaints with Broker Michael Freiman in Firm Morgan Stanley

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Freiman (Freiman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Freiman 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 $6,561.10 on June 27, 2024.

Client alleges, inter alia, that her account was not managed in her best interest 2023 – 2024

Broker Gary Sauve in Centaurus Financial, INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Sauve (Sauve), previously associated with Centaurus Financial, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Sauve 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 28, 2024.

The customers allege that in February 2019, the Registered Representative recommended and misrepresented an unsuitable, high-risk, illiquid investment and breached his fiduciary duty.

Broker Shane Desherlia in Moloney Securities Co., INC. Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Desherlia (Desherlia), currently associated with Moloney Securities Co., INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Desherlia 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 $25,000.00 on July 06, 2024.

Suitability/negligence. 2018-2020.

Broker Tinh Vu in Osaic Wealth, INC. Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tinh Vu (Vu), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vu 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 $176,200.00 on July 05, 2024.

It is alleged that unsuitable investment recommendations were made in purported violation of legal and regulatory duties.

There are Recent Customer Complaints with Broker Tyler Childs in Firm UBS Financial Services INC.

April 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2024.

Time frame: 2021-2023\, Claimant alleges misrepresentation in the handling of options trading strategies for the claimant’s account, along with breach of fiduciary duty and negligence.