Securities Lawyers Blog

Broker Carmine Berardi in First Standard Financial Company LLC Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carmine Berardi (Berardi), previously associated with First Standard Financial Company LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Berardi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 10, 2021.

Respondent Berardi failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker James Szeszulski in Firm Money Concepts Capital CORP

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Szeszulski (Szeszulski), currently associated with Money Concepts Capital CORP, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Szeszulski 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 $52,000.00 on August 09, 2021.

The customer alleges unsuitable recommendations in violation of FINRA Rule 2111, Material misrepresentations and omissions in violation of Federal Law, Kentucky Blue Sky Laws and FINRA Rule 2020, and Violation of Fiduciary Duty. Based on the information available, the firm feels the investment was suitable for the customer’s financial profile. The firm and Financial Professional intend to vigorously defend themselves in this matter.

Broker David Becker in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2021.

Claimant alleges suitability, fraud, breach of contract, negligent supervision breach of contract, and negligence related to purchase of alternative investment

There are Recent Customer Complaints with Broker Timothy Seymour in Firm the Benchmark Company, LLC

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Seymour (Seymour), previously associated with the Benchmark Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Seymour 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 $30,000.00 on August 06, 2021.

12/2018 to 6/2019: The Plaintiff asserted civil claims against the many Defendants, including Timothy Seymour, concerning the solicitation of investments in Millennia Shares, LLC and the operation of Millennia Shares, LLC, an entity where Timothy Seymour was not a Member.

There are Recent Customer Complaints with Broker Mark Wolanyk in Firm IBN Financial Services, INC.

January 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $825,000.00 on August 06, 2021.

Claimants allege misrepresentation and insufficient information in recommendation of product on or about February 2022.

Broker Ben Putman in Independent Financial Group, LLC Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ben Putman (Putman), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Putman 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 $52,000.00 on August 06, 2021.

ALLEGE INVESTMENT WAS NOT SUITABLE

Broker Keith Patterson in Cetera Wealth Services, LLC Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Patterson (Patterson), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patterson 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 August 05, 2021.

Claimants alleged unsuitability of alternative investment which caused financial harm. The allegations include unsuitability, fraud, breach of contract, breach of fiduciary duty, negligence and violation of laws.

Broker Paul Drolson in First Allied Securities, INC. Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2021.

Claimant generally alleges suitability, breach of contract, negligent supervision, and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Frederick Atiyeh in Firm LPL Financial LLC

January 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2021.

The customer alleges lack of proper due diligence, lack of suitability and over concentration in regards to investments in alternative and variable annuity products.

Broker Steven Schwartz in National Securities Corporation Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Schwartz (Schwartz), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Schwartz 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 $200,000.00 on August 12, 2021.

Attorney for clients claims investment strategy was not suitable.