A.g.p.

There are Recent Customer Complaints with Broker Kenneth Biebel in Firm A.g.p. / Alliance Global Partners

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Biebel (Biebel), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Biebel 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 $17,100.19 on August 17, 2021.

Unsuitability

There are Recent Customer Complaints with Broker Jean Matthieu Josse in Firm A.g.p. / Alliance Global Partners

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jean Matthieu Josse (Josse), previously associated with A.g.p. / Alliance Global Partners, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Josse 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 September 21, 2021.

Investment performed poorly; no allegation of any sales practice violation.

There are Recent Customer Complaints with Broker Bernard Lherisson in Firm A.g.p. / Alliance Global Partners

December 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bernard Lherisson (Lherisson), previously associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Lherisson 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 March 25, 2022.

Unsuitable investment, breach of fiduciary duty, failure to supervise during period from 2013 to 2015.

There are Recent Customer Complaints with Broker Hodo Salovic in Firm A.g.p. / Alliance Global Partners

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hodo Salovic (Salovic), previously associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Salovic 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 $6,000.00 on September 02, 2022.

Client claims former RR overconcentrated his account in GRPN and MRO and has sustained losses of $6,000

There are Recent Customer Complaints with Broker Michael Shillin in Firm A.g.p. / Alliance Global Partners

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Shillin (Shillin), previously associated with A.g.p. / Alliance Global Partners, has at least 5 disclosable events. These events include 4 customer complaints, one regulatory event, alleging that Shillin 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 $455,923.90 on October 13, 2022.

Six former clients of Shillin allege misrepresentations made by Shillin regarding the purchase of SpaceX stock that, in fact, they never purchased. Claimants are seeking damages in the form of profits they allegedly would have earned if that purchase had been made by Shillin on their behalf.

Broker Thomas Mazzara in A.g.p. / Alliance Global Partners Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

Currently financial advisor Thomas Mazzara (Mazzara), currently employed by brokerage firm A.g.p. / Alliance Global Partners has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on June 10, 2025.

The customer alleges that a recommendation of a non-traded REIT investment was not in keeping with his needs and objectives, and that the features and risks of the investment were not fully explained to him.

Broker Anthony Romano in A.g.p. / Alliance Global Partners Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Romano (Romano), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Romano 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 March 30, 2023.

Unsuitable investments

There are Recent Customer Complaints with Broker Steven Bell in Firm A.g.p. / Alliance Global Partners

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Bell (Bell), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Bell 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 $27,000.00 on September 30, 2022.

Unsuitable recommendation, negligence, misrepresentation

Broker Charles Hartley in A.g.p. / Alliance Global Partners Firm Has Customer Complaint

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Hartley (Hartley), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Hartley 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 $2,600,000.00 on December 04, 2023.

Alleges Registered Representative took inappropriate risks purchasing unsuitable investments, overtrading options, and deviating from the investment plan.

There are Recent Customer Complaints with Broker Roger Follis in Firm A.g.p. / Alliance Global Partners

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Follis (Follis), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Follis 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 $2,600,000.00 on December 04, 2023.

Alleges Registered Representative took inappropriate risks purchasing unsuitable investments, overtrading options, and deviating from the investment plan.