Securities Lawyers Blog

There are Recent Customer Complaints with Broker Christopher Michalak in Firm Cetera Wealth Services, LLC

December 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 13, 2025.

Customers alleged the investments they purchased were not suitable

There are Recent Customer Complaints with Broker Matthew Stucke in Firm Cetera Wealth Services, LLC

December 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Stucke (Stucke), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stucke 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 $690,000.00 on October 15, 2025.

Claimant alleges that the RR recommended unsuitable and risky investments that resulted in substantial losses.

Broker Peter Sandler in Dominari Securities LLC Firm Has Customer Complaint

December 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 15, 2025.

Time frame: Unspecified. Customer alleges breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customer's investments

There are Recent Customer Complaints with Broker Drew Adler in Firm Osaic Wealth, INC.

December 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Adler (Adler), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Adler 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 $5,000.00 on October 09, 2025.

Client alleges that the financial professional did not properly invest assets in his account from 2022 – 2025.

There are Recent Customer Complaints with Broker Vasilios Takos in Firm Dominari Securities LLC

December 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 15, 2025.

Time frame: Unspecified. Customers allege breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customers' investments.

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

December 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pecoraro (Pecoraro), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pecoraro 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 $500,000.00 on October 13, 2025.

Alleged alligation of failure to supervisior, commission gebrated tragding. Time Frame: Janaury 2021 to present.

There are Recent Customer Complaints with Broker Ian Greenblatt in Firm Capitol Securities Management, INC.

December 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 15, 2025.

The client alleges concerns regarding the overconcentration and suitability of trades in the accounts, as well as unauthorized trading.

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

December 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Jarvis (Jarvis), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jarvis 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 $800,000.00 on October 17, 2025.

Claimant alleges excessive advisory fees

There are Recent Customer Complaints with Broker Michael Schiavello in Firm Dominari Securities LLC

December 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 15, 2025.

Time frame: Unspecified. Customers allege breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customers' investments.

There are Recent Customer Complaints with Broker Michael Ecker in Firm Center Street Securities, INC.

December 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 15, 2025.

Claimants initiated an arbitration concerning issues related to the sale of REIT and LP investments, which had previously been dismissed in an earlier arbitration in 2023.