Securities Lawyers Blog

There are Recent Customer Complaints with Broker William Harris in Firm Sigma Financial Corporation

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Harris (Harris), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Harris 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 $300,000.00 on September 23, 2020.

Statement of claim filed by Claimant’s Trustee alleges negligence, breach of fiduciary duty, breach of contract, material misrepresentations and omissions and failure to supervise. The investments were sold at a previous firm therefore the name of he firm and date is unknown.

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

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Migdale (Migdale), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Migdale 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 September 21, 2020.

Claimant alleges unsuitable investment recommendations.

Broker Morey Perlmutter in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morey Perlmutter (Perlmutter), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perlmutter 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 $13,511.00 on September 21, 2020.

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Broker Michael Pasquariello in UBS Financial Services INC. Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Pasquariello (Pasquariello), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Pasquariello 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 $13,511.00 on September 21, 2020.

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There are Recent Customer Complaints with Broker Angela Mccarthy in Firm Ameriprise Financial Services, LLC

March 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $79,309.00 on September 18, 2020.

McCarthy was a subject of the customers’ complaint against her member firm and other named respondents that asserted the following causes of action: negligence and gross negligence; misrepresentation; omission of material fact; failure to supervise; breach of fiduciary duty; and breach of contract.

There are Recent Customer Complaints with Broker Charles Krsek in Firm Cetera Advisors LLC

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Krsek (Krsek), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Krsek 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 September 21, 2020.

Customer alleges unsuitable investment recommendations.

Broker Richard Riggenbach in Woodbury Financial Services, INC. Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Riggenbach (Riggenbach), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Riggenbach 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 $262,000.00 on September 23, 2020.

Customers allege the representative made recommendations that did not meet the client’s needs and allegedly caused losses.

Broker Mark Goetz in Network 1 Financial Securities INC. Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Goetz (Goetz), previously associated with Network 1 Financial Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Goetz 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 $420,000.00 on September 23, 2020.

Fraud, Breach of Fiduciary Duty, Suitability, Failure to Supervise

Broker Charles Mannel in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 23, 2020.

Plaintiff alleges that the Defendant, who is also successor trustee, failed to properly administer the trust.

Broker Charles Correal in LPL Financial LLC Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 20, 2020.

Claimant alleges, inter alia, unsuitability with respect to investments – August 2014 to June 2015.