Securities Lawyers Blog

There are Recent Customer Complaints with Broker James Flower in Firm Spartan Capital Securities, LLC

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

James Flower was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

Broker Eric Baron in Network 1 Financial Securities INC. Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Baron (Baron), previously associated with Network 1 Financial Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Baron recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Eric Baron was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

There are Recent Customer Complaints with Broker Steven Wurzer in Firm Morgan Stanley

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2022.

CLIENT ALLEGES THAT HIS INSTRUCTIONS TO INVEST IN A RISK FREE FUND WERE NOT FOLLOWED 2021

There are Recent Customer Complaints with Broker Larry Schwartzman in Firm Oppenheimer & CO. INC.

November 5, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Larry Schwartzman (Schwartzman), currently associated with Oppenheimer & CO. INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Schwartzman concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on October 06, 2022.

Customer asserts claims for unsuitability, breach of fiduciary duty, churning and excessive trading, unauthorized trading and violation or FINRA and securities laws and regulations. 10/2018 – 10/2022.

Broker Thomas Sullivan in Sw Financial Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Thomas Sullivan was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

Broker Daniel Quesada in Oak Tree Securities, INC. Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Quesada (Quesada), currently associated with Oak Tree Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Quesada 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 $170,000.00 on October 07, 2022.

[REDACTED] held a brokerage account with the firm between January 2020 and January 2022. It was during that time that she worked exclusively with James Gingles. [REDACTED] has a paper trail of wanting to invest in aggressive securities and often frowned upon blue chip recommendations. Mr. Quesada has been named but had no interactions with [REDACTED] during the complaint period other then being the supervisor of Mr. James Gingles.

There are Recent Customer Complaints with Broker Philip Incorvia in Firm Henley & Company LLC

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Incorvia (Incorvia), previously associated with Henley & Company LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Incorvia 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 $1,276,996.00 on October 05, 2022.

CLAIMANTS ALLEGE RESPONDENTS FAILED TO PROVIDE REASONABLE, ADEQUATE AND MEANINGFUL SUPERVISION OVER PHILIP INCORVIA’S BRANCH OFFICE AND ACTIONS IN MATTERS OF INVESTMENT SUTABILITY, BREACH OF FIDUCIARY DUTY, AND FRAUD

There are Recent Customer Complaints with Broker Aramis Guerin in Firm PHX Financial, INC.

November 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Aramis Guerin was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

There are Recent Customer Complaints with Broker Jared Colao in Firm Edward Jones

November 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 12, 2022.

Client alleges he is upset with Empower, Edward Jones, and Financial Advisor in the handling of his 401k rollover as he is facing tax consequences due to the close-out of an existing loan on his 401k despite Client’s alleged clarity to all parties that he specifically wanted to avoid any tax consequences and wanted to leave his loan in place with Empower to ensure avoidance of said tax consequences.

There are Recent Customer Complaints with Broker Nick Abramovich in Firm Sw Financial

November 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Nick Abramovich was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.