Securities Lawyers Blog

There are Recent Customer Complaints with Broker Troy Tremblay in Firm Centaurus Financial, Inc.

March 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Tremblay (Tremblay), currently associated with Centaurus Financial, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tremblay 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 $88,000.00 on February 26, 2025.

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

Broker Jack Wong in Morgan Stanley Firm Has Customer Complaint

March 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Wong (Wong), currently associated with Morgan Stanley, 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 on February 26, 2025.

Claimant alleges, inter alia, unsuitability with respect to investments in managed accounts- June 2021 to September 2023

Broker Eric Abrahams in Burch & Company, Inc Firm Has Customer Complaint

March 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Abrahams (Abrahams), previously associated with Burch & Company, Inc, has at least one disclosable event. These events include one tax lien, alleging that Abrahams recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 21, 2025.

Respondent Abrahams failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Brett Rutherford in Capital Investment Group, Inc. Firm Has Customer Complaint

March 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Rutherford (Rutherford), previously associated with Capital Investment Group, Inc., has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Rutherford recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 28, 2025.

Without admitting or denying the findings, Rutherford consented to the sanction and to the entry of findings that he failed to provide documents and information requested by FINRA in connection with its investigation into the circumstances giving rise to a customer arbitration.

There are Recent Customer Complaints with Broker Joseph Barreca in Firm Wells Fargo Clearing Services, LLC

March 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Barreca (Barreca), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barreca 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 $5,657.98 on February 27, 2025.

POA complained about fees charged, account formation, and asset allocation in accounts.

There are Recent Customer Complaints with Broker Hugh Barndollar in Firm Crown Capital Securities, L.P.

March 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hugh Barndollar (Barndollar), previously associated with Crown Capital Securities, L.P., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory, alleging that Barndollar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 24, 2025.

Barndollar is subject to the revocation, restriction or suspension of registration by being subject to an awc in finra and failed to timely amend u4 form for a written complaint and arbitration settelement

Broker John Lee in LPL Financial LLC Firm Has Customer Complaint

March 26, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Lee (Lee), currently associated with LPL Financial LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Lee concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on February 27, 2025.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

Broker Evan Adelglass in LPL Financial LLC Firm Has Customer Complaint

March 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Adelglass (Adelglass), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Adelglass 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 21, 2025.

Customer alleges that an investments made in 2021 were unsuitable for the customer’s investment objectives and risk tolerance.

Broker Alessandro Spinetta in Morgan Stanley Firm Has Customer Complaint

March 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alessandro Spinetta (Spinetta), currently associated with Morgan Stanley, has at least one disclosable event. These events include one regulatory, alleging that Spinetta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 28, 2025.

The Panel of the Chicago Mercantile Exchange (“CME”) Business Conduct Committee found that the representative entered buy and sell orders in currency futures for accounts with common beneficial ownership for the legitimate purpose of hedging the currency exposure in each. However, the Panel found that the orders traded against each other in part, and the representative knew or reasonably should have known that the execution of the orders would achieve a wash result, in violation of CME Rule 534.

Broker Mary beth Spuhler in Osaic Wealth, Inc. Firm Has Customer Complaint

March 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary beth Spuhler (Spuhler), previously associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one regulatory, alleging that Spuhler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 21, 2025.

Without admitting or denying the findings, Spuhler consented to the sanction and to the entry of findings that she refused to provide information and documents requested by FINRA in connection with its investigation into the allegations that she engaged in personal transactions with clients without prior approval from her member firm.