Gwn Securities INC.

Broker Nicholas Wyzkiewicz in Gwn Securities INC. Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Wyzkiewicz (Wyzkiewicz), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Wyzkiewicz 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 $5,583.95 on May 20, 2022.

ON 5/17/2022 around 2:45pm a client [REDACTED] called rep’s Nicholas Wyzkiewicz’s office and left him a message asking to sell to cash the entire 403B account. The rep received a message after the market hours and submitted the trade immediately that night. The trade was executed as of 5/18 close. On 5/18 market dropped significantly. Client called on 5/18 and requested the rep to pay the difference of $5,583.95 because the rep’s recorded message did not make clear that trades cannot be accepted through voicemail the trade was corrected. Rep corrected the trade and paid the client the difference of $5,583.95

Broker Nicholas Wyzkiewicz in Gwn Securities INC. Firm Has Customer Complaint

November 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Wyzkiewicz (Wyzkiewicz), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Wyzkiewicz 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 $5,583.95 on May 20, 2022.

ON 5/17/2022 around 2:45pm a client [REDACTED] called rep’s Nicholas Wyzkiewicz’s office and left him a message asking to sell to cash the entire 403B account. The rep received a message after the market hours and submitted the trade immediately that night. The trade was executed as of 5/18 close. On 5/18 market dropped significantly. Client called on 5/18 and requested the rep to pay the difference of $5,583.95 because the rep’s recorded message did not make clear that trades cannot be accepted through voicemail the trade was corrected. Rep corrected the trade and paid the client the difference of $5,583.95

Broker Christian Ramsey in Gwn Securities INC. Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Christian Ramsey (Ramsey), previously associated with Gwn Securities INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Ramsey concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on June 11, 2025.

Respondents exploited Claimant’s lack of understanding by selling high-commission, complex, and illiquid alternative investments. They encouraged Claimant to rely on their advice while referencing inflated pricing without disclosing that no true market existed. Claimant was left uninformed of available liquidation or mitigation options, keeping him dependent on Respondents’ guidance and delaying any potential complaint.\, \, Despite ongoing duties, Respondents continued advising Claimant to hold these unsuitable investments, misrepresenting them as ‘lower risk’ despite their illiquidity, concentration issues, and high commissions. Claimant reasonably relied on Respondents’ superior knowledge and believed they would act in his best interest, particularly given his nearing retirement. Instead, Respondents prioritized their own compensation, ignoring regulatory standards for sales of complex products to retail investors.\, \, Respondents’ misrepresentations and omissions caused Claimant to invest in and retain unsuitable products, resulting in substantial losses. The delayed discovery of this misconduct does not relieve Respondents of liability.\, \, No dates were provided.

Broker Paul Carnahan in Gwn Securities INC. Firm Has Customer Complaint

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Carnahan (Carnahan), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Carnahan 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 $800,000.00 on October 18, 2022.

The customers allege that the rep recommended and overconcentrated their accounts in unsuitable investments

There are Recent Customer Complaints with Broker Ronald Giovino in Firm Gwn Securities INC.

August 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Giovino (Giovino), previously associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Giovino 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 $120,000.00 on June 14, 2023.

Former client alleges that her former FA recommended that she sell two mutual funds and reinvest the proceeds in a different investment opportunity but that he converted the funds. She also alleges that in August 2022 (which was over a year after the FA’s registration was terminated in July 2021) the same individual recommended she liquidate fund shares and invest the $50,000 proceeds in an annuity but that the individual converted those funds.

There are Recent Customer Complaints with Broker Michael Wynn in Firm Gwn Securities INC.

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wynn (Wynn), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Wynn 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 $166,377.00 on July 05, 2023.

[REDACTED] allege that they were convinced to give up their previously held policies in order to purchase three separate Prudential VUL investments. The allegations state that these policies were sold to them by an insurance agent who misleadingly held himself out to be knowledgeable and properly licensed to sell variable insurance within the State of New Jersey. In addition, the agent completed the applications and unbeknownst to the client’s used registered representative Michael Wynn to witness the signatures after the fact.

Broker Susan Coriale in Gwn Securities INC. Firm Has Customer Complaint

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Coriale (Coriale), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Coriale 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 $264,205.00 on October 17, 2023.

Client is alleging that in 2021 representative, Susan Coriale, failed to provide adequate tax advice for a recommendation that was given to the client to move her assets from a tax deferred annuity to a non- tax deferred joint mutual fund account causing the client to incur a substantial tax liability as well as having a negative impact on the client Social Security income and Medicare benefits. \, Client also alleges that a secondary recommendation was made to the client in 2022 to help mitigate the initial tax consequence, resulting in additional tax liabilities for the client.

Broker John Shaffer in Gwn Securities INC. Firm Has Customer Complaint

May 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Shaffer (Shaffer), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Shaffer 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 $500,000.00 on March 25, 2025.

Claimant alleges that rep misrepresented the material facts involved with the reit investment. Claimant also alleges that the rep was negligent in managing claimant’s investment.

Broker John Shaffer in Gwn Securities INC. Firm Has Customer Complaint

April 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Shaffer (Shaffer), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Shaffer 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 $500,000.00 on March 11, 2025.

Claimant alleges that rep misrepresented the material facts involved with the REIT investment. Claimant also alleges that the rep was negligent in managing claimant’s investment.