Securities Lawyers Blog

There are Recent Customer Complaints with Broker Francis Gemino in Firm Henley & Company LLC

December 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Gemino (Gemino), currently associated with Henley & Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gemino 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 $1,000,000.00 on December 16, 2021.

Customer alleges Firm failed to provide reasonable, adequate and meaningful supervision over Firm’s branch office, allowing its registered representative, to carry out a Ponzi scheme to defraud and misappropriate approximately$1,000,000.00.

There are Recent Customer Complaints with Broker Dustin Perkins in Firm Stonex Securities INC.

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Perkins (Perkins), currently associated with Stonex Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Perkins 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 January 03, 2022.

Defendant recklessly encouraged the plantiff to invest funds with one of the defendant’s other clients (i.e. The defendant’s friend). Plaintiff now seeks to recover those funds from defendant for: negligence; breach of fiduciary duty; and violation of tennessee’s consumer protection act.

There are Recent Customer Complaints with Broker Derek Lyght in Firm Northwestern Mutual Investment Services, LLC

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Lyght (Lyght), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lyght 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 $5,000.00 on January 04, 2022.

Customer alleging variable life insurance policy is not suitable for him.

Broker Kirk Badii in Independent Financial Group, LLC Firm Has Customer Complaint

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Badii (Badii), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Badii 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 $2,730,000.00 on October 17, 2025.

Statement of claim alleges dissatisfaction with the management of the Claimant’s investment and loan accounts.

Broker Blake Crousore in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Crousore (Crousore), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crousore 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 $5,000.00 on January 04, 2022.

Customer alleges that in or around September 2021, he instructed the Representative to purchase securities in a brokerage account, but instead, the Representative made unauthorized trades in a managed investment advisory account, which the customer alleges he did not authorize to be opened. The customer also alleges that the Representative misled him about executing the trades in a brokerage account while the funds remained in the managed investment advisory account.

Broker Danton Troyer in Private Client Services, LLC Firm Has Customer Complaint

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danton Troyer (Troyer), previously associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Troyer 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 $35,000.00 on January 03, 2022.

Claimant alleges that in 2014, representative made an unsuitable recommendation that he invest in FS Energy and Power Fund which was not appropriate for his investment objectives, and that he suffered losses from the investment.

Broker Gerald Moneypenny in Crown Capital Securities, L.p. Firm Has Customer Complaint

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Moneypenny (Moneypenny), previously associated with Crown Capital Securities, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Moneypenny 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 $50,000.00 on December 23, 2021.

Claimant’s allegations include but are not limited to, making unsuitable recommendations, negligence, misrepresentation and omission of material facts, and breach of fiduciary duty with regard to the sale of alternative investments. Time period of allegations is November 2007-February 2018.

There are Recent Customer Complaints with Broker Christopher Peterson in Firm Vanguard Marketing Corporation

December 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2022.

Customer alleges vanguard invested all the cash from her roth ira instead of the agreed upon amounts per the invesment plan and as a result of this error stock shares were erroneously sold. The activities occurred between June 6, 2021 through June 23, 2021.

There are Recent Customer Complaints with Broker Peter Mirenda in Firm Vcs Venture Securities

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Mirenda (Mirenda), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Mirenda 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 $1,500,000.00 on January 03, 2022.

Alleged excessive, unsuitable and unauthorized trades.

Broker Adam Maggio in Vcs Venture Securities / Joseph Stone Capital L.l.c. Firm Has Customer Complaint

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Maggio (Maggio), currently associated with Vcs Venture Securities / Joseph Stone Capital L.l.c., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Maggio 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 $2,087,663.24 on January 03, 2022.

Churning, negligence and unsuitability, failure to supervise, unauthorized trading, breach of fiduciary duty, breach of contract, unjust enrichment, negligent misrepresentation and omissions, lost opportunity damages, and punitive damages.