Securities Lawyers Blog

There are Recent Customer Complaints with Broker Angela Granata in Firm J.w. Cole Financial, INC.

December 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Granata (Granata), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Granata 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 $995,797.00 on January 18, 2022.

Angela Granata was a Subject Of the customer’s complaint against her member firm and other named respondents that asserted the following causes of action: violations of FINRA Rule 2110, violations of FINRA Rule 2111: Recommending and Selling Securities Without Adequate Due Diligence and Without a Reasonable Basis, negligence, misrepresentations and omissions of material facts, breach of fiduciary duty, failure to supervise, and respondeat superior.

Broker Lawrence Hardee in Arete Wealth Management, LLC Firm Has Customer Complaint

December 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Hardee (Hardee), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hardee 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 $430,000.00 on January 13, 2022.

Unsuitable, high risk , illiquid. Failed to do reasonable due diligence

Broker Hedley Greene in D.a. Davidson & CO. Firm Has Customer Complaint

December 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hedley Greene (Greene), previously associated with D.a. Davidson & CO., has at least one disclosable event. These events include one customer complaint, alleging that Greene 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 $2,120,734.40 on January 14, 2022.

Claimant alleges RR provided incorrect tax advice regarding stepping up the basis of securities held in an irrevocable trust.

Broker Scott Spruth in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

December 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 18, 2022.

Claimant, now 85 years old, alleges that her Financial Advisor made repeated unsuitable recommendations to invest that were harmful to her.

There are Recent Customer Complaints with Broker Olin Wiley in Firm Verity Investments, INC.

December 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Olin Wiley (Wiley), previously associated with Verity Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wiley 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 $149,828.17 on January 18, 2022.

Unauthorized liquidation of [REDACTED] individual brokerage account in January 2016.

Broker Mitchell Silverman in Raymond James & Associates, INC. Firm Has Customer Complaint

December 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Silverman (Silverman), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Silverman 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 $9,880.66 on January 20, 2022.

Client alleges trades were placed without approval.

There are Recent Customer Complaints with Broker Lowry Bayley in Firm Sanctuary Securities, INC.

December 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lowry Bayley (Bayley), previously associated with Sanctuary Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bayley 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 $500,000.00 on January 16, 2022.

Alleged failure to diversify customer’s account.

There are Recent Customer Complaints with Broker Samvel Shakhramanov in Firm Edward Jones

December 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2022.

Client alleges consent was not given for trades placed in her account when the funds came in and was unaware this would occur once the funds arrived in the account.

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

December 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Kimbrough (Kimbrough), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Kimbrough 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 $17,283.00 on January 31, 2022.

The client alleges that instructions to invest his account were not followed.

Broker Ryan Kirkpatrick in Edward Jones Firm Has Customer Complaint

December 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2022.

The client alleges the financial advisor misrepresented there would be no tax consequences for liquidating U.S. Series EE savings bonds.