Securities Lawyers Blog

Broker Philip Simonides in Madison Avenue Securities, LLC Firm Has Customer Complaint

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Simonides (Simonides), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simonides 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 $157,747.01 on February 21, 2025.

Unsuitable Investment in Skyloft DST.

Broker Leslie Maholic in Pruco Securities, LLC. Firm Has Customer Complaint

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leslie Maholic (Maholic), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Maholic 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 $60,000.00 on February 25, 2025.

Customer Alleges that the rep did not fully disclose all the facts (information) regardingfees, charges and expenses. This matter is being reported consistent with FINRA rulespertaining to the reporting of certain written customer complaints. The company by thisfiling makes no allegations regarding the actions of the representative.

There are Recent Customer Complaints with Broker Virginia Panjvani in Firm Stifel, Nicolaus & Company, Incorporated

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Virginia Panjvani (Panjvani), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Panjvani 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 $84,522.88 on February 26, 2025.

Customer alleges registered representative’s lack of action to liquidate trust account assets on 2/24/2025 and 2/25/2025 resulted in losses.

Broker Frederic Ohara in Sagepoint Financial, INC. Firm Has Customer Complaint

April 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 26, 2025.

Trustee alleges the client was misled when she purchased a variable universal life insurance policy in February 1999.

There are Recent Customer Complaints with Broker Lanting Wei in Firm Ameriprise Financial Services, LLC

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lanting Wei (Wei), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wei 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 $300,000.00 on February 28, 2025.

Claimants allege unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Robert Ginsberg in Firm LPL Financial LLC

April 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 27, 2025.

Customer alleges that investments made in 2022 were unsuitable for the customer’s investment objectives and risk tolerance.

Broker Jamie Nowakowski in Equitable Advisors, LLC Firm Has Customer Complaint

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Nowakowski (Nowakowski), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nowakowski 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 $190,000.00 on March 03, 2025.

The customer alleges unsuitable investments.

There are Recent Customer Complaints with Broker Melinda Woll in Firm Edward Jones

April 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 01, 2025.

The alleges unauthorized selling of GEV stock.

Broker Sarah Robinson in Avantax Investment Services, INC. Firm Has Customer Complaint

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sarah Robinson (Robinson), previously associated with Avantax Investment Services, INC., 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 on February 27, 2025.

Customer alleged identity theft and unauthentic signatures on account documentation.

There are Recent Customer Complaints with Broker Andrew Roberson in Firm Park Avenue Securities LLC

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Roberson (Roberson), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roberson 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 $300,000.00 on February 28, 2025.

Client alleges the RR encouraged him to invest $300,000 in a solar tax credit program called H2, which is not an approved product of the Firm. Client states he lost $191,000 in the investment.