Securities Lawyers Blog

Broker Marcial Vargas in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 04, 2024.

Claimant alleges that from 2018 through 2022, FA breached his fiduciary duty by recommending unsuitable investments and misrepresenting the nature of those investments.

There are Recent Customer Complaints with Broker Hagin Richeson in Firm Corinthian Partners, L.l.c.

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hagin Richeson (Richeson), currently associated with Corinthian Partners, L.l.c., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Richeson 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 $100,001.00 on July 08, 2024.

Violations of federal securities laws; breach of contract; common law fraud; breach of fiduciary duty; Negligence and gross negligence;

There are Recent Customer Complaints with Broker Patrick Klenner in Firm Thrivent Investment Management INC.

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Klenner (Klenner), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Klenner 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 $10,411.52 on July 02, 2024.

Client alleged RR failed to enter variable annuity subaccount transfer as directed in January 2024.

Broker Jason Norton in LPL Financial LLC Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Norton (Norton), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norton 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.

Customer alleges that investments made in 2014 were unsuitable for the customer’s investment objectives and risk tolerance.

Broker Michael Meniktas in UBS Financial Services INC. Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Michael Meniktas (Meniktas) 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 Meniktas was employed by UBS Financial Services INC. at the time of the activity. If you have been a victim of Meniktas’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 $1,036,306.00 on July 02, 2024.

Time frame: 2015-2023\, \, Allegations: Claimant alleges his financial advisor made an unsuitable recommendation to invest in a complex life insurance investment strategy, in a selling away scheme.

Broker Mark Gassoso in Arete Wealth Management, LLC Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Gassoso (Gassoso), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gassoso 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 July 03, 2024.

Claimant alleges RR made unsuitable recommendations and mismanaged Claimant’s assets

Broker Derrick Watts in Packerland Brokerage Services, INC. Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derrick Watts (Watts), currently associated with Packerland Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Watts 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 $3,000,000.00 on July 03, 2024.

Alleges RR’s proposal to Claimants to purchase Bet Chicago securities was misleading, inaccurate, and false based on its valuation

Broker Chadwick Bridgers in Cabot Lodge Securities LLC Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chadwick Bridgers (Bridgers), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bridgers 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 $400,000.00 on July 08, 2024.

Claimant alleges breaches of fiduciary duty, negligence, duty to supervise, Regulation Best Interest, violations of various FINRA Rules, regarding the purchase of GWG L-bonds during March 2021.

There are Recent Customer Complaints with Broker Donald Peabody in Firm Osaic Wealth, INC.

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Peabody (Peabody), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Peabody 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 July 02, 2024.

Per UMPQUA Investments, Inc. filing, claimant alleges Peabody made unsuitable investment recommendations concerning a real estate investment.

Broker Reginald Robinson in Corinthian Partners, L.l.c. Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reginald Robinson (Robinson), previously associated with Corinthian Partners, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Robinson 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 $100,001.00 on July 08, 2024.

Violations of federal securities laws; breach of contract; common law fraud; breach of fiduciary duty; Negligence and gross negligence;