Securities Lawyers Blog

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

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Howley (Howley), previously associated with Park Avenue Securities LLC, has at least 11 disclosable events. These events include 8 customer complaints, 3 regulatory events, alleging that Howley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on December 29, 2021.

HOWLEY SOLD UNREGISTERED SECURITIES. HOWLEY ACTED AS AN AGENT WITHOUT REGISTRATION. HOWLEY WILLFULLY FAILED TO COMPLY WITH PARK A VENUE’S POLICIES. HOWLEY IS THE SUBJECT OF AN ORDER OF A SELF-REGULATORY ORGANIZATION EXPELLING HIM FROM A SELF-REGULATORY ORGANIZATION.

There are Recent Customer Complaints with Broker James Booth in Firm LPL Financial LLC

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Booth (Booth), previously associated with LPL Financial LLC, has at least 34 disclosable events. These events include 31 customer complaints, 3 regulatory events, alleging that Booth recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 20, 2020.

Clients allege misappropriated funds.

There are Recent Customer Complaints with Broker Gregg Lentz in Firm Arkadios Capital

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregg Lentz (Lentz), currently associated with Arkadios Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lentz 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 $11,200.00 on September 09, 2019.

Client asserts that the recommendations made by the advisor were not the most suitable investments available. Client feels that he should be reimbursed $11,200 plus interest by advisor.

Broker Warren Hartzman in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Warren Hartzman (Hartzman), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hartzman 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 $45,006.46 on September 09, 2020.

Client claimed that the financial advisor was not acting in her best interest by misrepresenting and providing misleading information about the unsuitable investments in her portfolio. (3/1/2013-9/9/2020)

Broker Cindy Chiellini in Centaurus Financial, INC. Firm Has Customer Complaint

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cindy Chiellini (Chiellini), previously associated with Centaurus Financial, INC., has at least 43 disclosable events. These events include 43 customer complaints, alleging that Chiellini 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 $50,000.00 on April 12, 2023.

In mid-2019, the customer alleges that the Registered Representative recommended risky, illiquid, complex and high-risk investments.

There are Recent Customer Complaints with Broker Thomas Finnegan in Firm Osaic Wealth, INC.

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Finnegan (Finnegan), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Finnegan 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 $50,000.00 on September 09, 2020.

Claimant alleges breach of fiduciary duty and negligent supervision

Broker Carey James in Centaurus Financial, INC. Firm Has Customer Complaint

June 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carey James (James), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that James 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 $100,000.00 on July 17, 2023.

During the period 2012 through 2018, the customers allege that the Registered Representative recommended illiquid investments that performed poorly.

Broker Jesus Vega in Nylife Securities LLC Firm Has Customer Complaint

June 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesus Vega (Vega), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vega 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 $27,500.00 on December 13, 2023.

The policyowner alleges that she purchased a variable universal life insurance policy in December 2022 which is unsuitable since the RR incorrectly advised her that her monthly premiums would be tax deductible. The customer requested a full refund of all premiums paid and that her original term life insurance policy be restored.

There are Recent Customer Complaints with Broker Nicole Bailey in Firm RBC Capital Markets, LLC

June 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Bailey (Bailey), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bailey 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 $100,000.00 on December 15, 2023.

Claimant alleges that, in 2022, its financial advisor recommended unsuitable investments in mortgage-backed securities.

There are Recent Customer Complaints with Broker Adam Marquardt in Firm Cetera Advisors LLC

June 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Marquardt (Marquardt), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marquardt 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 $3,300,000.00 on December 14, 2023.

Claimants generally allege unsuitability, failure to supervise, and negligence.