Securities Lawyers Blog

There are Recent Customer Complaints with Broker Ronald York in Firm Arkadios Capital

December 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 28, 2025.

Claims unsuitable purchase of a DST (private Placement) on 2/1/2022

There are Recent Customer Complaints with Broker Mark Hovanic in Firm Oppenheimer & CO. INC.

December 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Hovanic (Hovanic), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Hovanic 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 $181,500.00 on October 24, 2025.

Claimant-beneficiary of a non-party client-trust asserts that Respondents were negligent and aided the trustee of the client-trust in embezzling funds from the client-trust, as well as failing to provide information requested by claimant. From 1/11/2024 to 10/23/2025

There are Recent Customer Complaints with Broker Lisa Grosskopf in Firm Peak Brokerage Services, LLC

December 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Grosskopf (Grosskopf), currently associated with Peak Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grosskopf 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 $450,000.00 on October 28, 2025.

The claimants claim that they were sold an indexed universal life insurance policy between 2013 and 2017 that was unsuitable for them. The claimants allege that the representative made unsuitable recommendations in that premiums for the policy were withdrawn from qualified accounts causing the claimants to incur IRS early withdrawal penalties. In connection with these recommendations, the claimants allege breach of fiduciary duty, negligence, violations of FINRA rules, misrepresentation, and breach of contract.

Broker Rafael Klein in David Lerner Associates, INC. Firm Has Customer Complaint

December 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rafael Klein (Klein), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Klein 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 October 28, 2025.

Unsuitability, misrepresentation and breach of fiduciary duty, May 23, 2018 the date of the first purchase of Energy 12.

There are Recent Customer Complaints with Broker Keith Dagostino in Firm Ef Hutton LLC

December 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Dagostino (Dagostino), previously associated with Ef Hutton LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dagostino recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 28, 2025.

Client alleges unsuitable investments.

There are Recent Customer Complaints with Broker Suihock Goy in Firm Ni Advisors

December 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suihock Goy (Goy), currently associated with Ni Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Goy 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 $1,950,000.00 on October 25, 2025.

Claim purports unsuitable recommendation of corporate bond in which the issuer subsequently declared bankruptcy. Bond purchases were made in 2019 by four individuals in this combined case.

There are Recent Customer Complaints with Broker Davee Schulte in Firm Raymond James Financial Services, INC.

December 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 28, 2025.

Client alleged advisor misappropriated their funds.

There are Recent Customer Complaints with Broker Stephen Giannantonio in Firm Aegis Capital Corp.

December 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 28, 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.

Broker Thomas Forest in First Heartland Capital, INC. Firm Has Customer Complaint

December 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 27, 2025.

Customer alleges various misrepresentations during the solicitation of indexed universal life insurance.

There are Recent Customer Complaints with Broker Anthony Megaro in Firm Nationwide Planning Associates INC.

December 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Megaro (Megaro), currently associated with Nationwide Planning Associates INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Megaro recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 27, 2025.

The RR entered into a Stipulation with the New York State Department of Financial Services for failure to comply with Guardian Life’s policies and procedures related to document integrity and authenticity.