Securities Lawyers Blog

Broker Burton Bartlett in Landolt Securities, INC. Firm Has Customer Complaint

August 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Burton Bartlett (Bartlett), previously associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bartlett 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 $50,000.00 on February 26, 2025.

Burton Bartlett II was named in a customer complaint that asserted the following causes of action: Unsuitable and Misleading Investment Recommendations, Material Misrepresentations and Omitted Material Facts, Fraudulent Concealment of Material Information, Negligence, Breach of Fiduciary Duty, and Violation of Wisconsin Uniform Securities Law.

There are Recent Customer Complaints with Broker Stephanie Anderson in Firm Cetera Advisors LLC

August 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Anderson (Anderson), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $130,000.00 on April 07, 2025.

Rep failed to follow through on clients instructions to move their accounts to cash accounts before the downturn.

Broker Glen Guinto in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

August 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glen Guinto (Guinto), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guinto 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 $5,532.38 on March 12, 2025.

The client complained that the Financial Advisor did not explain that commissions would be charged on the purchase of securities. The client requests reimbursement for all commissions paid. (12/24/2024 – 03/12/2025)

There are Recent Customer Complaints with Broker Nicholas Nowakowski in Firm Vanguard Marketing Corporation

August 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Nowakowski (Nowakowski), currently associated with Vanguard Marketing Corporation, 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 settled customer complaint on April 04, 2025.

The client alleged that he instructed his advisor not to rebalance account with cash from his settlement account needed to repurchase a house. The corrective trades caused a loss. Activity date was April 4, 2025 through April 7, 2025.

There are Recent Customer Complaints with Broker Jason Gaylor in Firm LPL Financial LLC

August 6, 2025 | by Staff Attorney

Currently financial advisor Jason Gaylor (Gaylor), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $13,000.00 on April 08, 2025.

Client expressed his dissatisfaction with the performance and illiquidity features of certain recommended private placement investments.

Broker Patrick Millian in UBS Financial Services INC. Firm Has Customer Complaint

August 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Millian (Millian), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Millian 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 $8,000.00 on April 09, 2025.

Time Frame: March 31st, 2025 to April 3rd, 2025\, \, What were the allegations against the individua: lThe client alleges that the financial advisor failed to follow her instructions by investing her account prior to when she wanted. The client further alleges that some of the investment decisions were against her risk tolerance.

Broker Marc Korsch in Arkadios Capital Firm Has Customer Complaint

August 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Korsch (Korsch), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Korsch 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 $150,000.00 on April 07, 2025.

The customers allege that the Registered Representative recommended and misrepresented unsuitable, high-risk, illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker James Maurer in Network 1 Financial Securities INC. Firm Has Customer Complaint

August 6, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker James Maurer (Maurer) 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 Maurer was employed by Network 1 Financial Securities INC. at the time of the activity. If you have been a victim of Maurer’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 $50,000.00 on April 09, 2025.

Breach of Fiduciary Duty, Unsuitable Recommendations, Misappropriation of Funds

Broker Daryl Powell in Charles Schwab & Co., INC. Firm Has Customer Complaint

August 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daryl Powell (Powell), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Powell 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 $1,500,000.00 on March 13, 2025.

Starting in 2021, the client alleges the associate misrepresented the brokerage account funds available for withdrawal from the Pledged Asset Line of credit.

There are Recent Customer Complaints with Broker Patrick Maddren in Firm Westpark Capital, INC.

August 6, 2025 | by Staff Attorney

Previously financial advisor Patrick Maddren (Maddren), previously employed by brokerage firm Westpark Capital, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $475,000.00 on April 03, 2025.

Claimants allege that the recommendation to invest in a private placement for NYIAX was unsuitable, insufficient due diligence was performed and material misrepresentations and omissions occurred.