Securities Lawyers Blog

Broker Kurt Baldry in Ausdal Financial Partners, INC. Firm Has Customer Complaint

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Baldry (Baldry), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baldry 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 $350,500.00 on March 10, 2024.

Lack of due diligence, Suitability, Misrepresentation and Fraud related to purchases of iCap Equity between January 2021 and April 2022.

Broker Gabriel Tessar in Trident Partners Ltd. Firm Has Customer Complaint

May 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 11, 2024.

Customers allege that an investment made during the period of 2012-2014 were inappropriate for the customers investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Louis Wargo in Firm Osaic Wealth, INC.

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis Wargo (Wargo), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wargo 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 $137,000.00 on March 07, 2024.

Claimant alleges unsuitable recommendation and sale of an alternative investment.

Broker Anson Cheong in Cetera Investment Services LLC Firm Has Customer Complaint

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anson Cheong (Cheong), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cheong 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 $1,054,759.37 on March 12, 2024.

Plaintiff alleges the proceeds from their investment were not received in their account.

Broker Keith Wells in Equity Services, INC. Firm Has Customer Complaint

May 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 12, 2024.

Plaintiff alleges purchased variable annuity policy was misrepresentated – actions necessary to preserve and maintain the guaranteed minimum death benefit and guaranteed minimum income benefit provided through the variable annuity.

There are Recent Customer Complaints with Broker Austin Arata in Firm Ameriprise Financial Services, LLC / Kinecta Financial & Insurance Services

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Arata (Arata), currently associated with Ameriprise Financial Services, LLC / Kinecta Financial & Insurance Services, has at least one disclosable event. These events include one customer complaint, alleging that Arata 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 $340,000.00 on March 11, 2024.

Claimant alleges representative made unauthorized transactions in his accounts in May 2023.

There are Recent Customer Complaints with Broker Connor Seedall in Firm Dai Securities, LLC

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Connor Seedall (Seedall), currently associated with Dai Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Seedall 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 $329,000.00 on March 11, 2024.

Client alleges unsuitable investment recommendations in 2018 and 2019

There are Recent Customer Complaints with Broker Joey Miller in Firm Dai Securities, LLC

May 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $329,000.00 on March 11, 2024.

Client alleges unsuitable recommendations 2018 and 2019.

There are Recent Customer Complaints with Broker Jordan Schmidt in Firm the Leaders Group, INC.

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Schmidt (Schmidt), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schmidt 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 March 12, 2024.

Client invested in a 12% interest bearing note paying 1% per month in June 2021. In January 2023, client renewed the note. In December 2023, CUMF filed for bankruptcy and defaulted on payment.

Broker Matthew Norton in Mcdonald Partners LLC Firm Has Customer Complaint

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Norton (Norton), currently associated with Mcdonald Partners 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 settled customer complaint with a damage request of $99,000.00 on March 12, 2024.

Claimant alleges that RR recommended an unsuitable investment in an offering of corporate bonds in 2020 and that reasonable due diligence was not conducted prior to making the offering. Claimant further alleges RR did not disclose, and did not accurately disclose, all material facts in connection with Claimant’s investment in the offering, and that certain guarantees of performance were made.