Stonecrest Capital Markets

Broker Roberto Pineda Castellvi in Stonecrest Capital Markets, INC. Firm Has Customer Complaint

July 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 09, 2025.

Time frame: Unspecified Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that his UBS account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

There are Recent Customer Complaints with Broker Deborah Stackpole in Firm Stonecrest Capital Markets, INC.

June 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Deborah Stackpole (Stackpole), currently associated with Stonecrest Capital Markets, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stackpole 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 $390,000.00 on February 28, 2024.

The customer filed an arbitration claiming unsuitable recommendations related to two investments a corporate and an REIT.

There are Recent Customer Complaints with Broker Roberto Pineda Castellvi in Firm Stonecrest Capital Markets, INC.

May 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 24, 2024.

Time frame: Unspecified Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that his UBS account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

There are Recent Customer Complaints with Broker Carlos Rodriguez De Gracia in Firm Stonecrest Capital Markets, INC.

May 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 24, 2024.

Time frame: Unspecified Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that his UBS account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

Broker Edward Kasperavich in Stonecrest Capital Markets, Inc. Firm Has Customer Complaint

February 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Kasperavich (Kasperavich), currently associated with Stonecrest Capital Markets, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Kasperavich 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 $390,000.00 on February 28, 2024.

Stonecrest Capital Markets, Inc. (the ‘Firm’) received a FINRA arbitration notice on February 28, 2024, from Mr. [REDACTED], directed against Registered Representatives Edward Kasperavich (CRD#4970038) and Deborah Stackpole (CRD#4969850). The complaint lodged allegations of Poor Recommendation/Poor Advice concerning an investment made by Mr. [REDACTED] in GWG Holdings, LLC L-Bonds and in Northstar Healthcare Income, Inc . The complaint highlights concerns regarding the quality of the recommendations and advice provided by the aforementioned registered representatives in relation to Mr. [REDACTED]’s investment of $300,000.00 in GWG Holdings L-Bonds and $90,000 loss in his investment in Northstar Healthcare Income, Inc. from 2019 to 2023.

There are Recent Customer Complaints with Broker Antonio Bauza in Firm Stonecrest Capital Markets, Inc.

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antonio Bauza (Bauza), currently associated with Stonecrest Capital Markets, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Bauza 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 $350,000.00 on September 22, 2023.

Time frame: September 2015 – February 2017. Claimant alleges unsuitable investments and, breach of fiduciary duty.