Securities Lawyers Blog

There are Recent Customer Complaints with Broker Bryson Blackwell in Firm Realta Equities, INC.

March 6, 2026 | by Staff Attorney

Currently financial advisor Bryson Blackwell (Blackwell), currently employed by brokerage firm Realta Equities, INC. 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 pending customer complaint on December 10, 2025.

The claimants allege breach of its duties and obligations to claimants with recommendation to invest in real estate based Regulation D private placement.

There are Recent Customer Complaints with Broker Steven Pusterla in Firm Tsg Capital Advisors

March 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on October 01, 2025.

Respondent Pusterla failed to respond to FINRA requests for information.

Broker Nathaniel Higgins in Independent Financial Group, LLC Firm Has Customer Complaint

March 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathaniel Higgins (Higgins), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Higgins 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 $1,000,000.00 on November 24, 2025.

Claimants allege that unsuitable recommendations were made in a securitized real estate offering.

There are Recent Customer Complaints with Broker Timothy Roark in Firm Valmark Securities, INC.

March 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Roark (Roark), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Roark 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 $100,000,000.00 on November 25, 2025.

Breach of Fiduciary Duty, Negligent Misrepresentation, Gross Negligence, and Unjust Enrichment

There are Recent Customer Complaints with Broker Andres Fernandez Salvador in Firm Charles Schwab & Co., INC.

March 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andres Fernandez Salvador (Fernandez Salvador), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Fernandez Salvador 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 $1,400,000.00 on December 11, 2025.

Brokers are required to adhere to the SEC’s Regulation Best Interest (Reg BI) standard of care under the Securities Exchange Act of 1934 which establishes a ‘best interest’ standard for broker-dealers and associated persons. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts.

Broker Varshil Sanghavi in Newbridge Securities Corporation Firm Has Customer Complaint

March 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 14, 2025.

Client has asserted that they suffered financial losses related to investment recommendations.

There are Recent Customer Complaints with Broker Robert Eberhard in Firm Valmark Securities, INC.

March 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Eberhard (Eberhard), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Eberhard 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 $100,000,000.00 on November 25, 2025.

Breach of Fiduciary Duty, Negligent Misrepresentation, Gross Negligence, and Unjust Enrichment

Broker Steven Schmitt in Raymond James & Associates, INC. Firm Has Customer Complaint

March 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Schmitt (Schmitt), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schmitt 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 $950,000.00 on December 10, 2025.

Claimant alleges FA made unsuitable investment recommendations and liquidated certain positions and exercised a corporate action for one stock without Claimant’s authorization.

There are Recent Customer Complaints with Broker Christopher Pesce in Firm Wells Fargo Advisors Financial Network, LLC

March 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Pesce (Pesce), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pesce 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 $140,000.00 on December 10, 2025.

Time frame: 2021-2024\, The Trustee’s attorney alleges the Financial Advisors recommended unsuitable long duration premium bonds based on the Grantor’s age. The Trustee’s attorney further alleges the Financial Advisors misrepresented that the principal would be preserved and income would be interest based. The Trustee’s attorney finally alleges the strategy violated Regulation Best Interest.\,

Broker Rives Allen in Raymond James Financial Services, INC. Firm Has Customer Complaint

March 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rives Allen (Allen), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Allen 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 $48,836.00 on December 09, 2025.

Client alleges FA placed them in unsuitable investments. Allegation Activity Dates: 06/03/2021 to 03/26/2025