Securities Lawyers Blog

There are Recent Customer Complaints with Broker Dante Pinckney in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dante Pinckney (Pinckney), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pinckney recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 31, 2020.

The customer alleges unauthorized trading on August 10, 2020.

Broker Di Jin in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Di Jin (Jin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jin 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 $30,646.00 on September 03, 2020.

Through their attorney, the customer alleges misrepresentations were made, as well as the unauthorized purchase of bonds from March 3, 2020 until March 20, 2020.

There are Recent Customer Complaints with Broker Felipe Sebe Lopes in Firm Efg Capital International

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Felipe Sebe Lopes (Sebe Lopes), currently associated with Efg Capital International, has at least one disclosable event. These events include one customer complaint, alleging that Sebe Lopes 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 September 02, 2020.

The customer alleged that he was sold an investment in an unsuccessful project in August 2017.

There are Recent Customer Complaints with Broker Erin Klang in Firm Gradient Securities, LLC

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erin Klang (Klang), previously associated with Gradient Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Klang 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 $1,396,836.00 on September 04, 2020.

Allegations include breach of fiduciary duty and misrepresentation based on the sale of three flexible premium life insurance products and a purchase of fixed index annuity insurance product. This occurred on or about June 18, 2019.

There are Recent Customer Complaints with Broker Joey Ma in Firm Velox Clearing LLC

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joey Ma (Ma), previously associated with Velox Clearing LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ma 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 $5,000.00 on September 04, 2020.

Claimant alleges the Registered Representative withdrew funds from his bank account for his personal use. Activity dates 2004 and 2019.

Broker Mengxuan Zhang in Cetera Investment Services LLC Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mengxuan Zhang (Zhang), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zhang 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 $2,500,000.00 on September 01, 2020.

Customer alleges they were sold an unsuitable product.

There are Recent Customer Complaints with Broker Chad Spezia in Firm Edward Jones

April 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 02, 2020.

The customer alleges failure to follow instructions in October 2019.

There are Recent Customer Complaints with Broker Niraj Bhanderi in Firm Performance Trust Capital Partners, LLC

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Niraj Bhanderi (Bhanderi), currently associated with Performance Trust Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bhanderi 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 $80,800,000.00 on September 04, 2020.

Plaintiffs allege that from early 2014 through April 2016, their investment manager Premium Point Investments LLP fraudulently overstated the value of their holdings. Plaintiffs allege Premium Point was able to do so in part because Performance Trust Capital Partners, LLC, through Mr. Bhanderi and other Performance Trust employees, provided month end valuations on various securities that the Plaintiff alleges did not reflect the actual value of those securities. Plaintiffs allege Performance Trust provided these quotes in exchange for executing trades through Performance Trust, earning commissions for Performance Trust and its employees.

There are Recent Customer Complaints with Broker Timothy Johnson in Firm Osaic Wealth, INC.

April 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 31, 2020.

Claimant alleges former financial advisor recommended unsuitable investments.

Broker Hardee Jerrels in Charles Schwab & Co., INC. Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hardee Jerrels (Jerrels), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Jerrels 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 $345,000.00 on August 28, 2020.

The client alleges the investments he purchased in 2014 were unsuitable and misrepresented to him by the representative. The client also alleges the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.