Securities Lawyers Blog

There are Recent Customer Complaints with Broker Peter Arnold in Firm Edward Jones

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Arnold (Arnold), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Arnold 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 $5,222.48 on January 24, 2023.

The client alleges an unauthorized withdrawal was made from his Prudential Premier Retirement Annuity on 9/28/2021 which resulted in his monthly income payment being reduced. Additionally, client alleges his payment option was changed from monthly to annually without his authorization.

Broker Michelle Perres in Aegis Capital Corp. Firm Has Customer Complaint

October 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 23, 2023.

Time frame: 2018 – 2020. Claimant alleges unsuitable investments, breach of contract.

Broker Jesse Thomas in Equitable Advisors, LLC Firm Has Customer Complaint

October 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 18, 2023.

Client alleges RR misrepresented variable annuity contracts sold in 2023 and the RR fraudulently signed her name on a client form.

There are Recent Customer Complaints with Broker Evan Hershey in Firm Caldwell Sutter Capital, INC.

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Hershey (Hershey), currently associated with Caldwell Sutter Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hershey 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 $426,706.00 on April 17, 2023.

Claimant alleges representative failed to terminate defined benefit plans.

There are Recent Customer Complaints with Broker Chad Metzger in Firm Edward Jones

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Metzger (Metzger), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Metzger 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 $420,000.00 on April 18, 2023.

Plaintiff alleges registered representative and his assistant failed to transfer funds from Plaintiff’s now deceased husband’s account to a bank savings account jointly titled in the name of the Plaintiff and her now deceased husband.

There are Recent Customer Complaints with Broker Karl Tweardy in Firm Fidelity Brokerage Services LLC

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karl Tweardy (Tweardy), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tweardy 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 $10,000.00 on January 23, 2023.

Client alleged he did not receive a product prospectus for the investment in question. Notes in the CRM file prior to contract issue indicated the RR understood the customer wanted 0% risk with this investment, however, allocation instructions which would have allowed for this level of loss protection were never passed along to the insurance carrier. The customer was invested in an allocation that limited total loss, but that did not totally eliminate it.

Broker Kevin Deangelis in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Deangelis (Deangelis), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Deangelis 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 $161,000.00 on January 27, 2023.

Claimant alleges his advisor recommended unsuitable investments including exchange traded funds.

There are Recent Customer Complaints with Broker Maria Gasparro in Firm UBS Financial Services INC.

October 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 23, 2023.

Client alleges misappropriation of funds from January 2019 through May 2019.

There are Recent Customer Complaints with Broker Robert Alvarez in Firm Primus Financial Services, LLC

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Alvarez (Alvarez), currently associated with Primus Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alvarez 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 April 17, 2023.

BREACH OF CONTRACT AND WARRANTIES, VIOLATION OF STATE SECURITIES STATUTES, VICARIOUS LIABILITY

Broker Jim Ayers in Silver Oak Securities, Incorporated Firm Has Customer Complaint

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jim Ayers (Ayers), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ayers 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 $55,000.00 on January 23, 2023.

Client alleges registered representative recommended an unsuitable investment.