Securities Lawyers Blog

There are Recent Customer Complaints with Broker Harrison Chang in Firm Innovation Partners LLC

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harrison Chang (Chang), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chang 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 $550,000.00 on April 29, 2024.

Customer alleges that investment recommendation was unsuitable and misleading. Date of activity from June 2018 to April 2020.

There are Recent Customer Complaints with Broker Andrew Goldberg in Firm Centaurus Financial, INC.

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Goldberg (Goldberg), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldberg 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 April 26, 2024.

Client alleges forgery of her signature on fixed index annuity application.

Broker Stephen Berrocal in Truist Investment Services, INC. Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Berrocal (Berrocal), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Berrocal 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 $500,000.00 on April 29, 2024.

Clients allege unsuitable recommendations and misrepresentations regarding investments in Northstar fixed annuities in May 2014.

Broker Jeffery Wimer in Citigroup Global Markets INC. Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jeffery Wimer (Wimer), previously employed by Citigroup Global Markets INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Wimer’s most recent customer complaint alleges that Wimer recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

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

Claimant alleges that Jeffrey Wimer, a former Financial Advisor, conducted unauthorized trades in structured products in claimant’s non-discretionary account, resulting in unspecified losses. Claimant had previously claimed in separate correspondence that the alleged unauthorized trades occurred from November 2023 through January 2024 and resulted in $250,000 in losses. Claimant’s complaint alleges the following causes of action: negligence, violation of the Florida Securities and Investor Protection Act, breach of common law fiduciary duty, and breach of the Investment Advisors Act of 1940.

Broker Andrew Egber in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Egber (Egber), previously associated with Steward Partners Investment Solutions, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Egber recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 26, 2024.

Without admitting or denying the findings, Egber consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation of allegations made on an amended Form U5 filed by his member firm. The findings stated that the firm was reviewing allegations of possible theft of client funds by Egber. The findings also stated that Egber refused to appear for on-the-record testimony requested by FINRA.

Broker John Prokos in LPL Financial LLC Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Prokos (Prokos), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Prokos 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 $52,000.00 on April 29, 2024.

Customers allege that investments made in 2014 were unsuitable for the customers’ investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Daniel Roebuck in Firm Patrick Capital Markets, LLC

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Roebuck (Roebuck), previously associated with Patrick Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roebuck 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 $1,800,000.00 on April 25, 2024.

Failed to conduct reasonable due diligence, misrepresentations, and disclose material facts.

There are Recent Customer Complaints with Broker Dario Suarez in Firm UBS Financial Services INC.

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dario Suarez (Suarez), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Suarez 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 $1,500,000.00 on April 24, 2024.

Time frame: Unspecified\, Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds and bonds 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 Bruce Hartzmark in Firm Oppenheimer & CO. INC.

May 8, 2025 | by Staff Attorney

Currently financial advisor Bruce Hartzmark (Hartzmark), currently employed by brokerage firm Oppenheimer & CO. 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 with a damage request of $500,000.00 on April 26, 2024.

Claimants allege they suffered losses in a private placement investment and allege claims for negligence, breach of fiduciary duty, breach of contract, and violations of state securities laws. From 7/2018 – 3/2024

Broker Craig Mcdaniel in Capital Investment Group, INC. Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Mcdaniel (Mcdaniel), currently associated with Capital Investment Group, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Mcdaniel 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 $42,000.00 on April 26, 2024.

Client invested in GWG Holdings L-Bonds. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. No Statement of Claim filed by client or opposing counsel.