Securities Lawyers Blog

There are Recent Customer Complaints with Broker Viqas Akhtar in Firm B. Riley Wealth Management

August 28, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Viqas Akhtar (Akhtar), currently associated with B. Riley Wealth Management, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Akhtar concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on July 01, 2023.

Alleges unsuitable investments and excessive trading.

There are Recent Customer Complaints with Broker Scott Taylor in Firm Northwestern Mutual Investment Services, LLC

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Taylor (Taylor), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $15,771.00 on June 30, 2023.

Customer alleges that in or around August 2021, the Representative failed to act in the customer’s best interests when the Representative recommended the customer purchase a variable universal life insurance policy that the customer alleges is not suitable for their needs and goals.

There are Recent Customer Complaints with Broker Matthew Cannariato in Firm Wells Fargo Clearing Services, LLC

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Cannariato (Cannariato), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cannariato 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 $13,439.00 on June 28, 2023.

Customer alleges misrepresentation regarding a managed account investment. Activity dates 5.12.21 – 5.12.21.

There are Recent Customer Complaints with Broker Frederick Azzurro in Firm Osaic Wealth, INC.

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Azzurro (Azzurro), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Azzurro 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 $5,000.00 on June 27, 2023.

Customer alleges funds were misappropriated by representative to customer’s spouse in 2013.

There are Recent Customer Complaints with Broker Adam Donlevie in Firm Centaurus Financial, INC.

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Donlevie (Donlevie), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Donlevie 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 $45,000.00 on June 29, 2023.

In July 2020, the customer alleges that the Registered Representative recommended a high-risk, illiquid and unsuitable investment.

There are Recent Customer Complaints with Broker Brian Currie in Firm Morgan Stanley

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Currie (Currie), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Currie 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 $70,283.32 on June 28, 2023.

Claim alleges, inter alia, breach of fiduciary duty with respect to trading in managed account (2020 -2023)

Broker Jamie Worden in Worden Capital Management LLC Firm Has Customer Complaint

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Worden (Worden), previously associated with Worden Capital Management LLC, has at least 8 disclosable events. These events include one customer complaint, 7 regulatory events, alleging that Worden recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on July 05, 2023.

Respondent Worden 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.

There are Recent Customer Complaints with Broker Michael Wynn in Firm Gwn Securities INC.

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wynn (Wynn), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Wynn 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 $166,377.00 on July 05, 2023.

[REDACTED] allege that they were convinced to give up their previously held policies in order to purchase three separate Prudential VUL investments. The allegations state that these policies were sold to them by an insurance agent who misleadingly held himself out to be knowledgeable and properly licensed to sell variable insurance within the State of New Jersey. In addition, the agent completed the applications and unbeknownst to the client’s used registered representative Michael Wynn to witness the signatures after the fact.

There are Recent Customer Complaints with Broker Krishnamurthy Prasad in Firm Nylife Securities LLC

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Krishnamurthy Prasad (Prasad), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Prasad 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 $9,265.13 on July 03, 2023.

The Customer accepted the Company’s written offer of a one-time settlement after a requested review of the customer’s accounts, which showed the purchase of a fixed annuity in November 2016 contained proceeds of two existing variable annuities, which provided a better rate.

Broker Timothy Sweeney in Centaurus Financial, INC. Firm Has Customer Complaint

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Sweeney (Sweeney), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sweeney 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 $45,000.00 on June 29, 2023.

In July 2020, the customer alleges that the Registered Representative recommended a high-risk, illiquid and unsuitable investment.