Securities Lawyers Blog

There are Recent Customer Complaints with Broker Robert Dicolo in Firm UBS Financial Services Inc.

March 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 03, 2025.

Time Frame: May 1st, 2019 to January 31st, 2025\, What were the allegations against the individual? The client alleges that his Financial Advisors failed to follow his instructions by not investing funds received in the 529 plan. The client further alleges that his retirement money was not invested as per his instructions in years.

Broker Victoria Pierce in J.P. Morgan Securities LLC Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 05, 2025.

Claimant alleges that during an unspecified time frame, the FA failed to monitor the accounts which resulted in the improper transfer of funds.

There are Recent Customer Complaints with Broker Richard Pluta in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Pluta (Pluta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pluta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 01, 2025.

Client alleges failure to follow instructions February 2025.

Broker Dean Nowak in Newbridge Securities Corporation Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Nowak (Nowak), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Nowak 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 $50,000.00 on February 04, 2025.

Breach of fiduciary duty, negligence, and reg bi

Broker Christine Amato in Charles Schwab & Co., Inc. Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christine Amato (Amato), currently associated with Charles Schwab & Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Amato 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 $88,235.00 on February 10, 2025.

Around June 2020, the client alleges the representative recommend a CD that was not in her best interest and misrepresented the interest rates of the CD.

There are Recent Customer Complaints with Broker Gerald Seigel in Firm Aegis Capital Corp.

March 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Time frame: 2015 – present. Claimants allege breach of fiduciary duty, negligence and breach of contract.

Broker Raymond Brown in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Brown (Brown), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $21,987.00 on February 13, 2025.

Customers allege that in or around July 2024, the Representative misrepresented that two variable life insurance policies would be treated as investment accounts and that ongoing premiums would not be required.

There are Recent Customer Complaints with Broker Mario Payne in Firm Raymond James Financial Services, Inc.

March 27, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Mario Payne (Payne), previously employed by Raymond James Financial Services, 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), Payne’s most recent customer complaint alleges that Payne 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 with a damage request of $4,000,000.00 on February 12, 2025.

Claimants allege FA improperly engaged in a high-risk, illiquid, complex, and unsuitable investment strategy that concentrated them in structured products such as structured notes, and they also allege the products were misrepresented as safe, guaranteed, and insured. Allegation Activity Dates: 5/3/2013 – 2/8/2019.

There are Recent Customer Complaints with Broker Reynel Gonzalez in Firm Wells Fargo Clearing Services, LLC

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reynel Gonzalez (Gonzalez), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez 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 $6,000.00 on February 13, 2025.

Client complains that in recommending an outside money management strategy, the Financial Advisor assured them that they would recover principal and achieve a gain after one year. (1/11/2024-2/13/2025)

There are Recent Customer Complaints with Broker Shirley Wong in Firm Emerson Equity LLC

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Wong (Wong), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wong 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 February 12, 2025.

Violations of Federal Securities Laws, Violations of California securities laws, California unfair, unlawful and fraudulent business practices, Violation of California’s financial elder abuse law, Breach of contract, Common law fraud, Breach of fiduciary duty, Negligence and Gross negligence, 05/2020