Securities Lawyers Blog

Broker Roderick Rodriguez in Osaic Institutions, INC. Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Rodriguez (Rodriguez), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 $160,000.00 on July 17, 2025.

Respondent, through its broker solicited the Claimant to invest in high risk Alternative Investments. These Alternative Investments were represented as safe, low risk investments that provided retirement income, the reality is that these investments were illiquid, speculative investments that were not suitable for the Claimant.

Broker Patrick Infante in LPL Financial LLC Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Infante (Infante), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Infante 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 $1,926.68 on June 03, 2025.

Customer alleged rep failed to follow instructions to liquidate two accounts and only liquidated one account in 2025.

Broker Gerald Hanifan in Usa Financial Securities LLC Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Hanifan (Hanifan), currently associated with Usa Financial Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hanifan 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 June 18, 2025.

Gerald Hanifan has been named in FINRA Dispute Resolution Services Arbitration Number 24-00233. The complainants are alleging that Mr. Hanifan placed them in unsuitable investments, by failing to explain the investments in great enough detail.

There are Recent Customer Complaints with Broker Kim Block in Firm Valic Financial Advisors, INC.

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Block (Block), previously associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Block 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 August 26, 2025.

Customer alleged misrepresentation related to the sale of an annuity.

Broker David Perkins in Hatteras Capital Distributors, LLC Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Perkins (Perkins), currently associated with Hatteras Capital Distributors, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Perkins recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 20, 2025.

Plaintiffs bring this Verified Amended Class Action Complaint against Defendants for tortious interference with contractual and unitholder voting rights stemming from the Hatteras Plan of Liquidation.

There are Recent Customer Complaints with Broker Ricky Meyer in Firm LPL Financial LLC

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Meyer (Meyer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 $8,397.17 on September 02, 2025.

Customer alleges that she was not informed of illiquid nature of REIT at time of purchase.

Broker Thomas Rohn in Moloney Securities Co., INC. Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Rohn (Rohn), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Rohn 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 $100,000.00 on August 14, 2025.

Suitability/negligence. 2021

There are Recent Customer Complaints with Broker Theodore Kourpas in Firm Independent Financial Group, LLC

October 31, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Theodore Kourpas (Kourpas) 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 Kourpas was employed by Independent Financial Group, LLC at the time of the activity. If you have been a victim of Kourpas’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,450,000.00 on September 11, 2025.

Respondents’ misrepresentations, omissions, unsuitable recommendation, selling away violations and Claimant suffered significant losses.

There are Recent Customer Complaints with Broker John Cutrone in Firm Aegis Capital Corp.

October 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 10, 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 Travis Lippmann in Firm Spartan Capital Securities, LLC

October 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Lippmann (Lippmann), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lippmann 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 $607,052.00 on September 11, 2025.

Gross mishandling and unauthorized reallocaion of claimants portfolio philosphy