PHX Financial

There are Recent Customer Complaints with Broker Aramis Guerin in Firm PHX Financial, INC.

November 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Aramis Guerin was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

Broker David Alvarado in PHX Financial, INC. Firm Has Customer Complaint

September 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $30,000.00 on March 03, 2023.

Unsuitability, excessive trading/commissions, unauthorized trading, negligence

Broker Steros Christoforou in PHX Financial, INC. Firm Has Customer Complaint

September 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steros Christoforou (Christoforou), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Christoforou 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 April 17, 2023.

Unsuitability – 09/2014 to 06/2020

There are Recent Customer Complaints with Broker Sean Hosein in Firm PHX Financial, INC.

August 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Hosein (Hosein), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hosein 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 $2,200,000.00 on June 26, 2023.

From 2016 through early 2022 client alleges unsuitable investments with excessive commissions.

There are Recent Customer Complaints with Broker Alex Ng in Firm PHX Financial, INC.

July 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Ng (Ng), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ng 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 May 16, 2025.

Client alleges misrepresentation, negligent behavior and breach of fiduciary duties.

Broker Jason Walsh in PHX Financial, INC. Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Walsh (Walsh), previously associated with PHX Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Walsh 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 $47,500.00 on April 24, 2024.

The events arose while Rep was registered with National Securities. Claimant alleges respondent recommendations were unreasonable because of failure to conduct due diligence and material facts were omitted. Claimant also alleges breach of contact, negligence and gross negligence.

Broker Gregory Obrien in PHX Financial, INC. Firm Has Customer Complaint

May 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Obrien (Obrien), previously associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Obrien 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 May 22, 2024.

Client alleged rr May have overconcentrated investments in private equity. RR recently passed away.

Broker Richard Cardinale in PHX Financial, INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Richard Cardinale (Cardinale) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Cardinale was employed by PHX Financial, INC. at the time of the activity. If you have been a victim of Cardinale’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint on July 01, 2024.

Claimant alleges he was a victim of fraudulent private investments with counts of unsuitability, negligent supervision, common law fraud, breach of contract, breach of fiduciary duty and failure to warn.

There are Recent Customer Complaints with Broker Daniel Diaz in Firm Phx Financial, Inc.

April 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 19, 2024.

Between the dates of 11/2020 thru 12/2024, Claimant alleges respondent recommended unsuitable investments.

Broker Ali Mahlooji in Phx Financial, Inc. Firm Has Customer Complaint

April 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ali Mahlooji (Mahlooji), currently associated with Phx Financial, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mahlooji recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 19, 2024.

Between the dates of 11/2020 thru 12/2023, claimant alleges respondent recommended unsuitable investments.