Securities Lawyers Blog

There are Recent Customer Complaints with Broker Vincenzo Azzinnari 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 Vincenzo Azzinnari (Azzinnari), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Azzinnari 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 $6,042.57 on March 11, 2024.

The Customer alleged he was misled when he purchased a variable annuity in February 2022 and has requested a refund of the surrender charges incurred.

Broker Sidhant Nanda in Truist Investment 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 Sidhant Nanda (Nanda), previously associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nanda 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 March 11, 2024.

Customer alleges advisor made poor recommendation to client that resulted in negative financial impact .

There are Recent Customer Complaints with Broker Leo Chien in Firm Cetera Investment Services LLC

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leo Chien (Chien), previously associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chien 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.

There are Recent Customer Complaints with Broker Sandro Olivos in Firm Wells Fargo Clearing Services, LLC

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandro Olivos (Olivos), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olivos 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 $100,000.00 on March 12, 2024.

Customer alleges Mr. Olivos misrepresented the risks associated with the investment in NorthStar Financial Services and that the investment recommendations were unsuitable

Broker Donald Dalton in Parkland Securities, LLC Firm Has Customer Complaint

May 28, 2025 | by Staff Attorney

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

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

Customers allege that they did not authorize their financial professional to liquidate their accounts in September 2023 prior to their transfer by ACAT to another broker. When the accounts were liquidated, the customers were charged commissions and incurred substantial capital gain taxes. The customers demand reimbursement of commissions paid, capital gain taxes incurred, and professional fees expended.

There are Recent Customer Complaints with Broker Allan Proctor in Firm State Farm Vp Management Corp.

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allan Proctor (Proctor), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Proctor 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 $35,000.00 on March 12, 2024.

Customer took a loan from policy , which then lapsed. Customers spouse is now filing suit on his behalf for professional negligence.

There are Recent Customer Complaints with Broker Daniel Horowitz in Firm Wells Fargo Clearing Services, LLC

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Horowitz (Horowitz), currently associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Horowitz 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 $2,039,031.29 on March 11, 2024.

Customer complained that financial advisor did not disclose risks of investments and that recommendations were unsuitable. (10/2021)

Broker Charles Wareham in Independent Financial Group, LLC Firm Has Customer Complaint

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Wareham (Wareham), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wareham 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 $5,000.01 on March 12, 2024.

Allege that investments were not suitable and were not in line with their investment objectives.

There are Recent Customer Complaints with Broker Claud Haws in Firm Purshe Kaplan Sterling Investments

May 28, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Claud Haws (Haws) 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 Haws was employed by Purshe Kaplan Sterling Investments at the time of the activity. If you have been a victim of Haws’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 $4,472,093.00 on March 12, 2024.

Client alleges sales practice violation in connection with investment in private investment vehicle.

Broker Adam Nieto in Sorrento Pacific Financial, LLC Firm Has Customer Complaint

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Nieto (Nieto), currently associated with Sorrento Pacific Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nieto 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 $5,000.00 on March 12, 2024.

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