Securities Lawyers Blog

Broker Thomas Geissler in Ameritas Investment Company, LLC Firm Has Customer Complaint

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Geissler (Geissler), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Geissler 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 $1,000,000.00 on January 22, 2024.

Finra arbitration 24-00095 whereby claimants allege the financial professional recommended to invest in unsuitable and high risk fixed annuities.

Broker Thomas Barbaccia in Osaic Wealth, INC. Firm Has Customer Complaint

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Barbaccia (Barbaccia), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barbaccia 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 $44,000.00 on January 23, 2024.

Claimant alleges the RR recommended an unsuitable REIT investment in 2014.

Broker Suzette Lawrence in Independent Financial Group, LLC Firm Has Customer Complaint

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suzette Lawrence (Lawrence), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lawrence 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 $30,000.00 on January 24, 2024.

Client expressed frustration with losses in his investment advisory account. July 28, 2021, to December 21, 2023.

Broker Thomas Watts in Raymond James Financial Services, INC. Firm Has Customer Complaint

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Watts (Watts), currently associated with Raymond James Financial 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 $24,999.00 on January 22, 2024.

Claimant, as Personal Representative of the Estate of the Client, alleges various claims relating to the purchase of Standard Lithium, Ltd. stock on or about August 23, 2023.

There are Recent Customer Complaints with Broker Sean Casterline in Firm Delta Securities Company, LLC

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Casterline (Casterline), previously associated with Delta Securities Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Casterline 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 January 23, 2024.

Sean Casterline was named in a customer complaint that asserted the following causes of action: breach of contract and warranties, promissory estoppel, violation of fraud and state securities statutes, and the deceptive trade practices act (DTPA) breach of fiduciary duty.

There are Recent Customer Complaints with Broker Patrick Kenney in Firm Ameritas Investment Company, LLC

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Kenney (Kenney), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kenney 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 $1,000,000.00 on January 22, 2024.

Finra arbitration 24-00095 whereby claimants allege the financial professional recommended to invest in unsuitable and high risk fixed annuities.

Broker Ira Bauman in Raymond James & Associates, INC. Firm Has Customer Complaint

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ira Bauman (Bauman), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bauman 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 $220,000.00 on January 19, 2024.

Claimant alleges FAs failed to follow her instructions to re-invest dividends from specified securities.

There are Recent Customer Complaints with Broker Viktoriia Strange Vitkovska in Firm Key Investment Services LLC

June 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Viktoriia Strange Vitkovska (Strange Vitkovska), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Strange Vitkovska 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 $117.60 on January 29, 2024.

With regard to a term life insurance policy purchased in September 2023, the Policy owner executed an affidavit of forgery and claims that she did not sign the life insurance application, illustration and labslip documents and did not authorize the purchase of the policy. She requested to surrender the policy.

Broker Christopher Jumalon in Navy Federal Investment Services, LLC Firm Has Customer Complaint

June 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jumalon (Jumalon), previously associated with Navy Federal Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jumalon 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 $11,100.00 on January 25, 2024.

[REDACTED] met with Chris Jumalon, Financial Advisor, on 04/18/2023. His goal was to move 300K into 3 investment strategies. 100K to managed account, 100K to 5-year Fixed Annuity(FA) with Brighthouse and 100K to 3 year FA with Brighthouse. Mr. Jumalon followed through on establishing the 100K managed account but failed to process paperwork for both annuity contracts. The failure to process the paperwork was identified on 1/25/2024. [REDACTED] decided to move forward with the 100K Brighthouse 5 year FA, and paperwork was submitted on 10/16/2023. [REDACTED] decided he did not want to invest the remaining 100K to the second Brighthouse FA and requested funds be moved to Navy Federal Investment Services (NFIS) Digital investor. NFIS waived the trading fee for [REDACTED]. [REDACTED] was compensated $11,110 for the time period the funds were not invested and loss of interest earned.

Broker Michael Rudio in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

June 6, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Michael Rudio (Rudio), currently employed by Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Rudio’s most recent customer complaint alleges that Rudio recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint on January 24, 2024.

Claimants allege that during the time period December 2020 to November 2021, representative recommended unsuitable investments in structured products.