USCA Securities LLC

Usca Securities LLC Securities Attorney

October 27, 2026 | by Staff Attorney

Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Usca Securities LLC. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.

USCA Securities is a broker-dealer whose single line of business covers securities trading, research, and investment banking transactions, with customer accounts carried on a fully disclosed basis by National Financial Services. Organized in Delaware in December 1999, the firm is a wholly owned subsidiary of U.S. Capital Wealth, which is majority owned by Arax Wealth Management.

Usca Securities LLC – By the Numbers:

Broker Amanda Ton in Usca Securities LLC Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

Currently financial advisor Amanda Ton (Ton), currently employed by brokerage firm Usca Securities LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on October 13, 2020.

Clients filed arbitration against USCA Securities alleging negligence, professional negligence, violations of law, negligent supervision, breach of contract, breach of fiduciary duty, and breach of securities industry rules and regulations in connection with an oil and gas private placement investment recommended by Ms. Ton.

There are Recent Customer Complaints with Broker Timothy Myers in Firm Usca Securities LLC

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Myers (Myers), currently associated with Usca Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Myers 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 June 01, 2022.

Clients asserted breach of fiduciary duty claim against firm in connection with an investment in an oil and gas partnership in June 2014.

Broker Derek Su in Usca Securities LLC Firm Has Customer Complaint

August 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Su (Su), currently associated with Usca Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Su 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 $2,200,000.00 on June 12, 2023.

Claimants had been clients of USCA since 2015. Su began handling their accounts in late 2020. Claimants allege Su failed to properly structure their accounts to meet their retirement goals. Specific allegations include negligence, gross negligence, failure to supervise, and breach of fiduciary duty.

Broker Michael Delafuente in Usca Securities LLC Firm Has Customer Complaint

August 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Delafuente (Delafuente), previously associated with Usca Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Delafuente 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 $2,200,000.00 on July 12, 2023.

Claimants had been clients of USCA since 2015. DeLaFuente handled their accounts until late 2020. Claimants allege DeLaFuente failed to properly structure their accounts to meet their retirement goals and alleged that they participated in outside investment opportunities along with DeLaFuente in which he did not disclose conflicts. Specific allegations in the statement of claim include negligence, gross negligence, failure to supervise, and breach of fiduciary duty.

Broker George Howe in Usca Securities LLC Firm Has Customer Complaint

July 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Howe (Howe), currently associated with Usca Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howe 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 $20,000.00 on October 10, 2023.

Client is a 23-year-old professional baseball player who indicated he had a moderate aggressive risk profile and was seeking capital appreciation. After suffering losses during 2022, he filed a complaint with FINRA alleging unauthorized transactions. However, the account was a discretionary advisory account. Although the investments in the account were consistent with the client’s stated risk profile, looking back at his relationship with the client, Mr. Howe felt there could have been more communication to educate the client about the account and the impact of the market. So, as a measure of goodwill, Mr. Howe agreed to reimburse the client for advisory fees and a portion of his losses.

There are Recent Customer Complaints with Broker Matthew West in Firm Usca Securities LLC

July 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew West (West), currently associated with Usca Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that West 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 $3,000,000.00 on October 05, 2023.

Client is an experienced investor with an estimated net worth of over $6.5 million who actively monitored and participated in investment decisions in his accounts. Client complains of losses and missed opportunity related to specific investments that go back five years, but overall his accounts were profitable while at USCA. The client complains about a security that was initially recommended by USCA, but the client continued to make unsolicited purchases when the security’s price had already started to decline.

Broker Patrick Mendenhall in Usca Securities LLC Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

Currently financial advisor Patrick Mendenhall (Mendenhall), currently employed by brokerage firm Usca Securities LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000,000.00 on January 12, 2024.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,000,000.00 on October 05, 2023.

Broker John Howle in Usca Securities LLC Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Howle (Howle), currently associated with Usca Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howle 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 $499,999.00 on May 17, 2024.

Claimant makes claims related to the recommendation and performance of specific securities purchased in her accounts from 2017 to 2022 which were selected as part of a broader strategy.

U.S. Capital Wealth Advisors, LLC / USCA Securities LLC Advisor Patrick Mendenhall Has Customer Complaint

January 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Patrick Mendenhall (Mendenhall), currently associated with U.S. Capital Wealth Advisors, LLC and USCA Securities LLC, has at least four disclosable events. These events include four customer complaints alleging that Mendenhall recommended unsuitable investments in different investment products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000,000 on January 12, 2024.

Client is a sophisticated investor with decades of experience recruiting for the financial services industry, experience investing in options, stocks, private placements, and hedge funds, and a thirty-year relationship with Mr. Mendenhall. In connection with the account in question, the client indicated a net worth of over $20 million, an aggressive risk tolerance, and a primary objective of capital appreciation. The Client complains of losses and missed opportunity related to a specific stock (and options on that stock) in a specific account. The stock was first purchased by the client over eight years ago. The Client maintained other accounts with the firm and overall had gains while at the firm. The client was actively involved in managing the stock and all transactions were discussed with the client.