Securities Lawyers Blog

There are Recent Customer Complaints with Broker Ross Brenner in Firm Ameritas Investment Company, LLC

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ross Brenner (Brenner), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brenner 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 $90,000.00 on April 25, 2024.

Client alleged RR ignored her instructions and placed her into an aggressively allocated account which she did not authorize.

Broker Kurt Gruenewald in Lifemark Securities Corp. Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Gruenewald (Gruenewald), previously associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Gruenewald 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 April 26, 2024.

Allegations pertain to an investment in an alternative product, intended to be a small component of a larger diversified portfolio. Investments were purchased from 11/2018 to 02/2019. Unfortunately, the company that issued the investment has since filed Chapter 11 bankruptcy.

Broker Adam Jacobs in Oppenheimer & CO. INC. Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

Currently financial advisor Adam Jacobs (Jacobs), currently employed by brokerage firm Oppenheimer & CO. INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on April 26, 2024.

Claimants allege they suffered losses in a private placement investment and allege claims for negligence, breach of fiduciary duty, breach of contract, and violations of state securities laws. From 7/2018 – 3/2024

There are Recent Customer Complaints with Broker Roberto Pineda Castellvi in Firm Stonecrest Capital Markets, INC.

May 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 24, 2024.

Time frame: Unspecified Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that his UBS account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

There are Recent Customer Complaints with Broker Carlos Rodriguez De Gracia in Firm Stonecrest Capital Markets, INC.

May 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 24, 2024.

Time frame: Unspecified Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that his UBS account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

Broker Jose Zorrilla in Kovack Securities INC. Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Zorrilla (Zorrilla), previously associated with Kovack Securities INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zorrilla recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on April 24, 2024.

Time frame: Unspecified.\, Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that his UBS account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

There are Recent Customer Complaints with Broker Harrison Chang in Firm Innovation Partners LLC

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harrison Chang (Chang), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chang 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 $550,000.00 on April 29, 2024.

Customer alleges that investment recommendation was unsuitable and misleading. Date of activity from June 2018 to April 2020.

There are Recent Customer Complaints with Broker Andrew Goldberg in Firm Centaurus Financial, INC.

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Goldberg (Goldberg), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldberg 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 April 26, 2024.

Client alleges forgery of her signature on fixed index annuity application.

Broker Stephen Berrocal in Truist Investment Services, INC. Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Berrocal (Berrocal), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Berrocal 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 $500,000.00 on April 29, 2024.

Clients allege unsuitable recommendations and misrepresentations regarding investments in Northstar fixed annuities in May 2014.

Broker Jeffery Wimer in Citigroup Global Markets INC. Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jeffery Wimer (Wimer), previously employed by Citigroup Global Markets 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), Wimer’s most recent customer complaint alleges that Wimer 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 on April 24, 2024.

Claimant alleges that Jeffrey Wimer, a former Financial Advisor, conducted unauthorized trades in structured products in claimant’s non-discretionary account, resulting in unspecified losses. Claimant had previously claimed in separate correspondence that the alleged unauthorized trades occurred from November 2023 through January 2024 and resulted in $250,000 in losses. Claimant’s complaint alleges the following causes of action: negligence, violation of the Florida Securities and Investor Protection Act, breach of common law fiduciary duty, and breach of the Investment Advisors Act of 1940.