Sigma Financial Corporation Tag Archives

Sigma Financial Corporation Investment Attorney

November 1, 2026 | by Staff Attorney

The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Sigma Financial Corporation. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.

Sigma Financial Corporation is an independent broker-dealer that offers mutual funds, equity and fixed income securities, options, variable and fixed annuities, and alternative investments such as 1031 exchange programs, real estate investment trusts, and oil and gas programs through independent contractor representatives. Incorporated in Michigan in 1983 and headquartered in Ann Arbor, the firm serves clients through branch offices across the United States and is affiliated with Parkland Securities and the investment adviser Sigma Planning Corporation.

Sigma Financial Corporation – By the Numbers:

Broker Charles Mclean in Sigma Financial Corporation Firm Has Customer Complaint

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Mclean (Mclean), currently associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mclean 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 $191,000.00 on September 08, 2020.

Arbitration Statement of claim alleged breach of fiduciary duty, breach of contract, material misrepresentations, failure to supervise, negligence in connection with the alternative investments purchased in January of 2016.

There are Recent Customer Complaints with Broker Kristine Howell in Firm Sigma Financial Corporation

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristine Howell (Howell), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Howell 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 $5,000,000.00 on September 14, 2020.

Statement of claim alleges in 2014, Claimant’s assets were invested in alternative investments which were unsuitable and inappropriate given her unique financial situation and investment objective.

Broker Dee Rippetoe in Sigma Financial Corporation Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dee Rippetoe (Rippetoe), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Rippetoe 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 $300,000.00 on September 23, 2020.

Statement of claim filed by Claimant’s Trustee alleges negligence, breach of fiduciary duty, breach of contract, material misrepresentations and omissions and failure to supervise. The investments were sold at a previous firm therefore the name of he firm and date is unknown.

There are Recent Customer Complaints with Broker William Harris in Firm Sigma Financial Corporation

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Harris (Harris), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Harris 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 $300,000.00 on September 23, 2020.

Statement of claim filed by Claimant’s Trustee alleges negligence, breach of fiduciary duty, breach of contract, material misrepresentations and omissions and failure to supervise. The investments were sold at a previous firm therefore the name of he firm and date is unknown.

There are Recent Customer Complaints with Broker Adam Kozak in Firm Sigma Financial Corporation

February 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 09, 2021.

The complainant alleges that the REIT that was sold to him beginning in or around 2014 was unsuitable for his conservative portfolio and he wasn’t advised that there could be a loss of principal.

There are Recent Customer Complaints with Broker Fredrick Randhahn in Firm Sigma Financial Corporation

February 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fredrick Randhahn (Randhahn), previously associated with Sigma Financial Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Randhahn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 26, 2021.

The Division alleged Respondent violated Sections 61-1-1(2) and (3) of the Utah Uniform Securities Act (Act), Section 61-1-3(1), Section 61-1-7 and 61-1-16 of the Act.

Broker Matthew Mcdonald in Sigma Financial Corporation Firm Has Customer Complaint

May 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Mcdonald (Mcdonald), currently associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcdonald 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 $230,000.00 on April 11, 2025.

The Arbitration Statement of Claim alleged misrepresentation and negligence in connection with the investments purchased in 2012 thru 2016. Claimant further alleges the BD supervision of the claimant’s account was inadequate.

There are Recent Customer Complaints with Broker Patrick Kelly in Firm Sigma Financial Corporation

May 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Kelly (Kelly), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Kelly 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 $200,000.00 on April 17, 2025.

January 2025 – Customers allege their advisor failed to follow their instructions to sell their investments to avoid market loss.

There are Recent Customer Complaints with Broker Glenn Donnell in Firm Sigma Financial Corporation

April 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on August 15, 2024.

Without admitting or denying the findings, Donnell consented to the sanctions and to the entry of findings that he exercised discretion without prior written authorization by executing transactions in customer accounts. The findings stated that although the customers had given Donnell express or implied authority to exercise discretion in their accounts, none of the customers provided written authorization for him to exercise discretion. The findings also stated that Donnell caused two of his member firms to maintain inaccurate books and records by mismarking solicited trades as unsolicited. All of the trades were in marijuana securities, which trade over the counter. At one of the firms, Donnell untruthfully answered the firm’s direct inquiries about the solicited vs. unsolicited nature of the trades. While associated to another firm, Donnell marked the trades as unsolicited in order to avoid the firm’s trade system block on solicited over-the-counter trades.