Securities Lawyers Blog

There are Recent Customer Complaints with Broker Angelo Anello in Firm LPL Financial LLC

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angelo Anello (Anello), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Anello recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 05, 2025.

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

There are Recent Customer Complaints with Broker James Ganther in Firm Principal Securities, Inc.

March 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 31, 2025.

The clients allege that they were not made aware that by annuitizing the variable annuity contracts that their income would increase and cause additional tax obligations.

There are Recent Customer Complaints with Broker Fera Shivaee in Firm Centaurus Financial, Inc.

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fera Shivaee (Shivaee), currently associated with Centaurus Financial, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shivaee 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 February 03, 2025.

The customers allege that in 2020 through 2024, the Registered Representative recommended unsuitable, high-risk, speculative and illiquid investments.

Broker Williams Butcher in Independent Financial Group, LLC Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Williams Butcher (Butcher), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Butcher 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 February 11, 2025.

Claimant alleges unsuitable recommendations into high-risk bonds.

Broker Jason Klein in UBS Financial Services Inc. Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Time Frame: December 1st, 2022 to July 31st, 2024\, What were the allegations against the individual – The client alleges they were placed in unsuitable investments based on their age and investment knowledge and the investments were misrepresented.

Broker Alan Harrison in Concorde Investment Services, LLC Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Harrison (Harrison), currently associated with Concorde Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Harrison 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 $125,000.00 on February 10, 2025.

Statement of claim alleges Breach of Fiduciary Duty, Violation of FINRA Rules, Breach of Contract, and Negligence related to investment made in 2019.

Broker William Morrison in B. Riley Wealth Management Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Morrison (Morrison), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Morrison 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 February 05, 2025.

Claims RR recommended the unsuitable use of margin and over concentration in technology sector.

There are Recent Customer Complaints with Broker Robert Dicolo in Firm UBS Financial Services Inc.

March 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 03, 2025.

Time Frame: May 1st, 2019 to January 31st, 2025\, What were the allegations against the individual? The client alleges that his Financial Advisors failed to follow his instructions by not investing funds received in the 529 plan. The client further alleges that his retirement money was not invested as per his instructions in years.

Broker Victoria Pierce in J.P. Morgan Securities LLC Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 05, 2025.

Claimant alleges that during an unspecified time frame, the FA failed to monitor the accounts which resulted in the improper transfer of funds.

There are Recent Customer Complaints with Broker Richard Pluta in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Pluta (Pluta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pluta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Client alleges failure to follow instructions February 2025.