Securities Lawyers Blog

Broker Uriel Acevedo in PFS Investments INC. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 12, 2021.

STATEMENT OF CLAIM ALLEGES, PRIOR TO DEATH, REP BORROWED MONEY FROM CUSTOMER WHO HAS NOT BEEN FULLY REPAID.

Broker Jeffrey Ingros in Raymond James Financial Services, INC. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Ingros (Ingros), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ingros 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 $28,000.00 on August 19, 2021.

The customer alleges unsuitable investment recommendations, misrepresentations and omissions of material fact .

Broker Andre Labarbera in Titus Rockefeller, LLC Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on August 20, 2021.

Respondent Labarbera 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.

Broker Shawn Fischer in Nylife Securities LLC Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 21, 2021.

Customer alleges that documentation used as part of his 1035 exchange from TransAmerica to fund his immediate annuity in July 2021, contain initials that are not his.

There are Recent Customer Complaints with Broker Craig Hacker in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Hacker (Hacker), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hacker 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 $485,149.00 on August 23, 2021.

Client alleges that registered representative made unsuitable recommendations and misrepresented or failed to disclose the nature/risks of certain investments and failed to follow instructions for a stop-loss order from June 1, 2016 to June 30, 2022.

Broker Robert Fratesi in Arete Wealth Management, LLC Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Fratesi (Fratesi), previously associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fratesi 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 August 23, 2021.

Client alleges unsuitable investment recommendations in August 2016.

Broker Richard Stoyeck in Titus Rockefeller, LLC Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on August 20, 2021.

Respondent Stoyeck 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.

Broker Carl Lee in Thoroughbred Financial Services, LLC Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Lee (Lee), currently associated with Thoroughbred Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 August 23, 2021.

I gave $10,000 of [REDACTED] and $10,000 of my own money to a local builder to start a spec home. I did not disclose this outside activity to my prior firm at the time. The builder disappeared with the funds shortly thereafter . I promised [REDACTED] profits from another LP investment that I had but that LP did not generate a profit and closed in the mid 90’s. I did not disclose the loss to my client until a letter was received from [REDACTED] inquiring as to the status of the LP. On 9/1/2021 all disclosure was made to [REDACTED] and $10,000 was paid to him by TFS on 9/3/2021

There are Recent Customer Complaints with Broker Francis Searing in Firm Cetera Advisor Networks LLC

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Searing (Searing), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Searing 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 16, 2021.

Claimant alleges that their registered representative recommended unsuitable investments.

Broker James Mcisaac in Crown Capital Securities, L.p. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mcisaac (Mcisaac), previously associated with Crown Capital Securities, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Mcisaac 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 $125,000.00 on August 19, 2021.

The customer alleges unsuitable recommendations, misrepresentations, and breach of fiduciary duty as it relates to their purchase of alternative investments.