Securities Lawyers Blog

There are Recent Customer Complaints with Broker Michael Volini in Firm Cetera Wealth Services, LLC

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Volini (Volini), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Volini 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 August 21, 2022.

Claimant states claims for fraud, breach of fiduciary duty, negligence and breach of contract and alleges damages of $50,000, and also seeks pre-judgment and post-judgment interest for Claimant’s loss of use of his capital, and costs and fees.

There are Recent Customer Complaints with Broker Brian Casey in Firm Allstate Financial Services, LLC

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Casey (Casey), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Casey 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 $6,000.00 on August 17, 2022.

Customer has alleged he instructed registered representative to invest his non-qualified $50,000 in a safe harbor until the market dropped and that the representative did the exact opposite by placing him in a variable annuity. Customer has requested to be made whole and has claimed damages of (market value) loss in contract.

There are Recent Customer Complaints with Broker Anne Martin Gash in Firm Ameriprise Financial Services, INC.

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anne Martin Gash (Martin Gash), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin Gash 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 $180,000.00 on August 18, 2022.

The client alleged the advisor misled them on the sale of a variable annuity in July 2013.

There are Recent Customer Complaints with Broker Robert Barbuto in Firm Charles Schwab & Co., INC.

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Barbuto (Barbuto), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Barbuto 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 $54,531.13 on August 22, 2022.

Client alleges representative did not disclose fees associated with an advised offering and requested a refund of fees in the amount of $54,531.13.

Broker Paul Kim in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Kim (Kim), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kim 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 $1,450,000.00 on August 19, 2022.

Clients allege registered representative did not follow instructions, resulting in $1.7 million in losses from January 2022 through the present. Claimants’ Statement of Claim asserts causes of action for breach of fiduciary duty, negligence, fraud, breach of contract, third-party beneficiary breach of contract, violation of state securities statutes, violation of Reg BI, and negligent supervision, and requests $1.45 million in damages.

Broker Sarabjeet Thapar in World Investments, INC. Firm Has Customer Complaint

November 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 16, 2022.

Clients allege negligence, breach of contract, breach of fiduciary duty, unjust enrichment

There are Recent Customer Complaints with Broker Ushir Mehta in Firm Td Ameritrade, INC.

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ushir Mehta (Mehta), previously associated with Td Ameritrade, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mehta 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 $54,531.13 on August 22, 2022.

Client alleges representative did not disclose fees associated with an advised offering in 2013 and requested a refund of fees in the amount of $54,531.13

There are Recent Customer Complaints with Broker Michael Marks in Firm LPL Financial LLC

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Marks (Marks), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marks 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 August 22, 2022.

Failure to conduct adequate due diligence; negligent misrepresentation and overconcentration of investment in claimant’s account in connection with their Northstar fixed-rate investment.

Broker Jeffrey Lowe in Nylife Securities LLC Firm Has Customer Complaint

November 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 17, 2022.

Customer alleges that the recommendation to purchase a variable annuity in January 2022 was not consistent with her financial goal.

There are Recent Customer Complaints with Broker Eric Schwartz in Firm Purshe Kaplan Sterling Investments

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Schwartz (Schwartz), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Schwartz 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 $850,000.00 on August 23, 2022.

Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.