Securities Lawyers Blog

Broker Dean Nowak in Newbridge Securities Corporation Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Nowak (Nowak), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Nowak 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 04, 2025.

Breach of fiduciary duty, negligence, and reg bi

Broker Christine Amato in Charles Schwab & Co., Inc. Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christine Amato (Amato), currently associated with Charles Schwab & Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Amato 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 $88,235.00 on February 10, 2025.

Around June 2020, the client alleges the representative recommend a CD that was not in her best interest and misrepresented the interest rates of the CD.

There are Recent Customer Complaints with Broker Gerald Seigel in Firm Aegis Capital Corp.

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Seigel (Seigel), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Seigel 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: 2015 – present. Claimants allege breach of fiduciary duty, negligence and breach of contract.

Broker Raymond Brown in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Brown (Brown), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $21,987.00 on February 13, 2025.

Customers allege that in or around July 2024, the Representative misrepresented that two variable life insurance policies would be treated as investment accounts and that ongoing premiums would not be required.

There are Recent Customer Complaints with Broker Mario Payne in Firm Raymond James Financial Services, Inc.

March 27, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Mario Payne (Payne), previously employed by Raymond James Financial Services, Inc. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Payne’s most recent customer complaint alleges that Payne recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $4,000,000.00 on February 12, 2025.

Claimants allege FA improperly engaged in a high-risk, illiquid, complex, and unsuitable investment strategy that concentrated them in structured products such as structured notes, and they also allege the products were misrepresented as safe, guaranteed, and insured. Allegation Activity Dates: 5/3/2013 – 2/8/2019.

There are Recent Customer Complaints with Broker Reynel Gonzalez in Firm Wells Fargo Clearing Services, LLC

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reynel Gonzalez (Gonzalez), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez 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 $6,000.00 on February 13, 2025.

Client complains that in recommending an outside money management strategy, the Financial Advisor assured them that they would recover principal and achieve a gain after one year. (1/11/2024-2/13/2025)

There are Recent Customer Complaints with Broker Shirley Wong in Firm Emerson Equity LLC

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Wong (Wong), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wong 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 12, 2025.

Violations of Federal Securities Laws, Violations of California securities laws, California unfair, unlawful and fraudulent business practices, Violation of California’s financial elder abuse law, Breach of contract, Common law fraud, Breach of fiduciary duty, Negligence and Gross negligence, 05/2020

There are Recent Customer Complaints with Broker Rajesh Markan in Firm Hilltop Securities Inc.

March 27, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Rajesh Markan (Markan) 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 Markan was employed by Hilltop Securities Inc. at the time of the activity. If you have been a victim of Markan’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 $500,000.00 on February 18, 2025.

Clients allege that they were solicited by their Financial Advisor to invest in an outside investment that was fraudulent. They also allege misappropriation of funds.

Broker Leroy Born in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 18, 2025.

Client complains that Financial Advisor made unauthorized investments and demands reversal of transactions and compensation for lost earnings. (6/28/2024 – 2/18/2025)

There are Recent Customer Complaints with Broker John Lang in Firm Park Avenue Securities LLC

March 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 12, 2025.

Claimant alleges the liquidation of securities to purchase various fixed life insurance products was unsuitable.