Securities Lawyers Blog

Broker William Novack in Cfd Investments, INC. Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Novack (Novack), previously associated with Cfd Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Novack 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 $70,000.00 on June 26, 2024.

Claimant alleges that representative recommended unsuitable investments in a misleading manner.

Broker Bobb Meckenstock in Osaic Wealth, INC. Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Bobb Meckenstock (Meckenstock) 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 Meckenstock was employed by Osaic Wealth, INC. at the time of the activity. If you have been a victim of Meckenstock’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $154,000.00 on June 21, 2024.

Per the Independent Financial Group, LLC filing, allege that representative, for whom Mr. Meckenstock was the supervisor/OSJ, encouraged the investment in a private securities transaction that turned out to be fraudulent/a ponzi scheme. Clients’ initial investment was in December 2015 in the amount of $25,000. Thereafter, they made two other investments–one in June 2016 for $20,000 and one in November 2021 for $25,000.

There are Recent Customer Complaints with Broker Gerald Ohalloran in Firm Union Capital Company

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Ohalloran (Ohalloran), currently associated with Union Capital Company, has at least one disclosable event. These events include one customer complaint, alleging that Ohalloran 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 $120,000.00 on June 24, 2024.

Allegation is Unsuitable product purchased in 2020.

There are Recent Customer Complaints with Broker Kieran Varga in Firm UBS Financial Services INC.

April 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 01, 2024.

Time Frame: November 28th 2023\, What were the allegations against the individual?. The client verbally alleges her instruction were not followed as she did not want to cash out during the VMware/Broadcom acquisition.

There are Recent Customer Complaints with Broker Allison Terlip in Firm Ameritas Investment Company, LLC

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allison Terlip (Terlip), previously associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Terlip 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 $817,916.00 on June 28, 2024.

FINRA Arbitration 24-01377 in which claimants allege deceptive two-part investment strategy which led to the recommendation of unsuitable investments.

There are Recent Customer Complaints with Broker Anthony Liddle in Firm Landolt Securities, INC.

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Liddle (Liddle), previously associated with Landolt Securities, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Liddle 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 $262,000.00 on June 27, 2024.

Customer alleges that representative made misrepresentations and misappropriated the customer’s investments.

Broker Hemant Kathuria in A.g.p. / Alliance Global Partners Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hemant Kathuria (Kathuria), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Kathuria 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 $200,000.00 on July 01, 2024.

Failure to disclose fees and risks associated with an alternative investment, from Dec 2020 through January 2021

Broker Jon Urbach in Fidelity Brokerage Services LLC Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Urbach (Urbach), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Urbach 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 $426,273.00 on July 02, 2024.

Customer alleged that the registered representative made improper referral to unaffiliated advisor.

Broker Glenn Cray in Moloney Securities Co., INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Cray (Cray), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Cray 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 $45,000.00 on June 27, 2024.

Suitability/negligence. 2017-2020

Broker David Perrotto in Cetera Advisors LLC Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2024.

Claimants allege unspecified investment recommendations which resulted in losses.