Securities Lawyers Blog

Broker Andrew Egber in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Egber (Egber), previously associated with Steward Partners Investment Solutions, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Egber recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 26, 2024.

Without admitting or denying the findings, Egber consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation of allegations made on an amended Form U5 filed by his member firm. The findings stated that the firm was reviewing allegations of possible theft of client funds by Egber. The findings also stated that Egber refused to appear for on-the-record testimony requested by FINRA.

Broker John Prokos in LPL Financial LLC Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Prokos (Prokos), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Prokos 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 $52,000.00 on April 29, 2024.

Customers allege that investments made in 2014 were unsuitable for the customers’ investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Daniel Roebuck in Firm Patrick Capital Markets, LLC

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Roebuck (Roebuck), previously associated with Patrick Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roebuck 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 $1,800,000.00 on April 25, 2024.

Failed to conduct reasonable due diligence, misrepresentations, and disclose material facts.

There are Recent Customer Complaints with Broker Dario Suarez in Firm UBS Financial Services INC.

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dario Suarez (Suarez), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Suarez 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 $1,500,000.00 on April 24, 2024.

Time frame: Unspecified\, Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds and bonds 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 Bruce Hartzmark in Firm Oppenheimer & CO. INC.

May 8, 2025 | by Staff Attorney

Currently financial advisor Bruce Hartzmark (Hartzmark), currently employed by brokerage firm Oppenheimer & CO. INC. has been subject to at least one disclosable event. These events include one customer complaint. 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

Broker Craig Mcdaniel in Capital Investment Group, INC. Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Mcdaniel (Mcdaniel), currently associated with Capital Investment Group, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Mcdaniel 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 $42,000.00 on April 26, 2024.

Client invested in GWG Holdings L-Bonds. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. No Statement of Claim filed by client or opposing counsel.

Broker Raphael Correa in J.P. Morgan Securities LLC Firm Has Customer Complaint

May 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raphael Correa (Correa), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Correa 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 $103,700,000.00 on April 30, 2024.

Client alleges unsuitable investment strategy recommendation. Activity dates July 2021 – March 2024.

There are Recent Customer Complaints with Broker Eoghan Shields in Firm J.P. Morgan Securities LLC

May 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eoghan Shields (Shields), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shields 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 $103,700,000.00 on April 30, 2024.

Client alleges unsuitable investment strategy recommendation. Activity dates July 2021 – March 2024.

Broker Hamid Derbani in J.P. Morgan Securities LLC Firm Has Customer Complaint

May 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hamid Derbani (Derbani), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Derbani 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 $103,700,000.00 on April 30, 2024.

Client alleges unsuitable investment strategy recommendation. Activity dates July 2021 – March 2024.

Broker Anthony Desjardins in Centaurus Financial, INC. Firm Has Customer Complaint

May 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Desjardins (Desjardins), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Desjardins 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 30, 2024.

The customer alleges that the Registered Representative recommended an unsuitable, high-risk, illiquid investment and breached his fiduciary duty. No specific dates for the alleged activity were identified in the Statement of Claim.