Landolt Securities

There are Recent Customer Complaints with Broker Burton Bartlett in Firm Landolt Securities, INC.

June 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Burton Bartlett (Bartlett), previously associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bartlett 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 $50,000.00 on January 30, 2024.

Almost 2 years following GWG Holdings Inc. filing for Chapter 11 bankruptcy protection, the customer is now alleging that their L bond purchase from December 2021 was unsuitable.

There are Recent Customer Complaints with Broker Anthony Liddle in Firm Landolt Securities, INC.

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Liddle (Liddle), previously associated with Landolt Securities, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Liddle 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 $262,000.00 on June 27, 2024.

Customer alleges that representative made misrepresentations and misappropriated the customer’s investments.

Broker Joseph Ondris in Landolt Securities, Inc. Firm Has Customer Complaint

March 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on January 27, 2025.

Without admitting or denying the findings, Ondris consented to the sanctions and to the entry of findings that he caused his member firm to maintain incomplete books and records by using an unauthorized personal email account to send and receive securities-related business communications to firm customers without providing copies of the emails to the firm and thereby preventing it from preserving the emails as required. The findings stated that Ondris signed firm compliance attestations stating that he used only his assigned firm email address for securities business communications with firm customers.

Broker Ting Chen in Landolt Securities, Inc. Firm Has Customer Complaint

February 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ting Chen (Chen), currently associated with Landolt Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 December 18, 2024.

Almost 3 years following GWG Holdings Inc. filing for Chapter 11 bankruptcy protection, the customer is now alleging that his L bond purchase from November 2020 was unsuitable

There are Recent Customer Complaints with Broker Anthony Cottone in Firm Landolt Securities, Inc.

February 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Cottone (Cottone), previously associated with Landolt Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Cottone 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 December 23, 2024.

Unsuitability, failure to supervise

Broker Joseph Ondris in Landolt Securities, Inc. Firm Has Customer Complaint

February 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on January 27, 2025.

Without admitting or denying the findings, Ondris consented to the sanctions and to the entry of findings that he caused his member firm to maintain incomplete books and records by using an unauthorized personal email account to send and receive securities-related business communications to firm customers without providing copies of the emails to the firm and thereby preventing it from preserving the emails as required. The findings stated that Ondris signed firm compliance attestations stating that he used only his assigned firm email address for securities business communications with firm customers.