Securities Lawyers Blog

Broker Robert Genito in PFS Investments INC. Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Genito (Genito), previously associated with PFS Investments INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Genito 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 $90,000.00 on January 12, 2021.

Customer alleges genito failed to repay a promissory note issued to customer for the beneift of genito’s outside business.

Broker Christopher Jennings in Osaic Institutions, INC. Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jennings (Jennings), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jennings 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 $16,500.00 on January 15, 2021.

Client alleges investments not made despite systematic deposits; Does not believe C-Shares were appropriate; one account has too much cash to be in line with her wishes; no reviews done

There are Recent Customer Complaints with Broker Christopher Carolan in Firm Kingswood Capital Partners, LLC

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Carolan (Carolan), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carolan 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 $56,463.30 on January 13, 2021.

Claimant alleges, unauthorized trading with respect to investments – Jun, 2012 – Sep, 2019

Broker Vincent Egan in Benjamin F. Edwards & Company, INC. Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Egan (Egan), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 January 12, 2021.

On January 12, 2021 client questioned why she was seeing cash in her account and not security ARKK as she gave instructions to purchase the security on December 17, 2020.

There are Recent Customer Complaints with Broker Russell Stellfox in Firm Calton & Associates, INC.

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Stellfox (Stellfox), currently associated with Calton & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stellfox 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 $146,628.00 on January 15, 2021.

FINRA Arbitration 21-00050 in which claimants allege failure to supervise purchases in brokerage account and annuity.

Broker Charles Hann in J.P. Morgan Securities LLC Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 12, 2021.

Client alleges his stock transfer was initiated on the wrong day which caused him to lose his pending dividend payment. The activity occurred between November 17, 2020 and December 3, 2020.

There are Recent Customer Complaints with Broker Eric Johnson in Firm Osaic Wealth, INC.

April 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $54,567.96 on January 12, 2021.

Johnson was a subject of the customer\\u2019s complaint against his member firm that asserted the following causes of action: breach of contract and warranties; promissory estoppel; violation of state securities statutes; breach of fiduciary duty; negligence and gross negligence; misrepresentation/omission & negligent misrepresentation/omission; unjust enrichment; failure to supervise; common law and statutory claims and damages; and vicarious & control person liability.

Broker Lawrence Harkavy in Oppenheimer & CO. INC. Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Harkavy (Harkavy), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Harkavy 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 $24,380.00 on January 15, 2021.

Client alleged unauthorized sales. From 6/1/2020 to 10/1/2020

Broker Robert Audet in LPL Financial LLC Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Audet (Audet), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Audet 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 $250,000.00 on January 12, 2021.

Claimants allege their financial professional recommended they invest in a REIT, certain limited partnerships, and an ETF which was unsuitable for their investment portfolio.

Broker Dean Evans in Cambridge Investment Research, INC. Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Evans (Evans), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Evans 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 $264,000.00 on January 12, 2021.

Claimant alleges unsuitability in investments which caused financial harm. The allegations include negligence, gross negligence, over concentration, brech of fiduciary duty, breech of contract and material misrepresentation an ommissions.