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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Adelglass (Adelglass), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Adelglass 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 $125,000.00  on February 21, 2025.

Customer alleges that an investments made in 2021 were unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a final customer complaint on February 28, 2025.

The Panel of the Chicago Mercantile Exchange (“CME”) Business Conduct Committee found that the representative entered buy and sell orders in currency futures for accounts with common beneficial ownership for the legitimate purpose of hedging the currency exposure in each. However, the Panel found that the orders traded against each other in part, and the representative knew or reasonably should have known that the execution of the orders would achieve a wash result, in violation of CME Rule 534.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary beth Spuhler (Spuhler), previously associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one regulatory, alleging that Spuhler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 21, 2025.

Without admitting or denying the findings, Spuhler consented to the sanction and to the entry of findings that she refused to provide information and documents requested by FINRA in connection with its investigation into the allegations that she engaged in personal transactions with clients without prior approval from her member firm.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Glenn Ngo (Ngo) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Ngo was employed by Park Avenue Securities LLC at the time of the activity.  If you have been a victim of Ngo’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on March 04, 2025.

Without admitting or denying the findings, Ngo 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 into whether he had participated in a potential private securities transaction away from his member firm.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jordan Meadow (Meadow), previously associated with Spartan Capital Securities, LLC, has been subject to at least one disclosable event. These events include one tax lien. Several of those complaints against Meadow  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a final customer complaint on March 10, 2025.

Without admitting or denying the findings, Meadow consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into potential excessive trading at his member firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lickiss (Lickiss), previously associated with Purshe Kaplan Sterling Investments, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Lickiss 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 $561,257.00 on March 04, 2025.

Breach of Fiduciary Duty From 2006 to 2023

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

FINRA BrokerCheck shows a final customer complaint on March 03, 2025.

Without admitting or denying the findings, Jerke consented to the sanction and to the entry of findings that he refused to provide documents and information as requested by FINRA in connection to its investigation of allegations made by his member firm on a Form U5 filling. The findings stated that Jerke was terminated from his firm because he had solicitated a loan from a customer without notice to and approval from his firm.

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

FINRA BrokerCheck shows a final customer complaint on March 06, 2025.

Without admitting or denying the findings, Perlongo consented to the sanctions and to the entry of findings that he excessively and unsuitably traded a customer’s account. The findings stated that the customer relied on Perlongo’s advice and routinely followed his recommendations and, as a result, Perlongo exercised de facto control over the account. Perlongo recommended frequent in-and-out trading even when the price of his recommended securities did not materially change. As a result of Perlongo’s recommendations, the customer paid $18,925 in commissions and suffered $70,107 in realized losses.

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

FINRA BrokerCheck shows a pending customer complaint on March 04, 2025.

Claimant alleges they were sold an alternative investment that was unsuitable. Additionally, the claimant alleges the Representative misrepresented the investment as riskless and that it would provide guaranteed income.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Reed (Reed), previously associated with U.s. Bancorp Investments, Inc., has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Reed 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 $135,000.00 on March 04, 2025.

Client alleges financial advisor did not fully explain the risks and tax impact associated with the investment recommendation

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