First Standard Financial Company LLC Tag Archives

Broker Philip Noto in First Standard Financial Company LLC Firm Has Customer Complaint

July 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Noto (Noto), previously associated with First Standard Financial Company LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Noto 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 $5,000,000.00 on July 24, 2020.

Noto was named in a customer complaint that asserted the following causes of action: fraud; breach of fiduciary duties; negligence; and aiding and abetting.

Broker Philip Noto in First Standard Financial Company LLC Firm Has Customer Complaint

April 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Noto (Noto), previously associated with First Standard Financial Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Noto 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 $5,000,000.00 on July 24, 2020.

Noto was named in a customer complaint that asserted the following causes of action: fraud; breach of fiduciary duties; negligence; and aiding and abetting.

Broker Manuel Paredes in First Standard Financial Company LLC Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manuel Paredes (Paredes), previously associated with First Standard Financial Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paredes 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 $462,431.58 on December 11, 2020.

Client alleges unsuitability, overconcentration and excessive commissions.

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.

Broker Michael Leahy in First Standard Financial Company LLC Firm Has Customer Complaint

January 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Leahy (Leahy), previously associated with First Standard Financial Company LLC, has at least 5 disclosable events. These events include 2 customer complaints, 3 regulatory events, alleging that Leahy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 12, 2022.

Respondent Leahy 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.