Securities Lawyers Blog

Broker Chris Toomey in J.P. Morgan Securities LLC Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Toomey (Toomey), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Toomey 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 $51,821.01 on February 11, 2025.

Customer alleges failure to disclose fees regarding a mutual fund investment. Activity dates 12/5/24 to 2/3/25.

Broker Robert Rotunno in Spartan Capital Securities, LLC Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rotunno (Rotunno), currently associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rotunno 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 $251,250.00 on January 31, 2025.

Customer alleges 1 unsuitable product sold at Tigress Financial Partners in 2019. The other allegations occurred at different Firms not named in the Arbitration The Arbitration also names National Securities Corporation.

Broker Anthony Walia in Fidelity Brokerage Services LLC Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 11, 2025.

Regarding a rollover to a managed account IRA made in 2017, the client alleges the rollover was not in his best interest.

Broker Keith Dagostino in Ef Hutton LLC Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 11, 2025.

Time frame: Unspecified. Claimant alleges unsuitable investments, breach of contract, breach of fiduciary duty and negligence.

There are Recent Customer Complaints with Broker Angelo Anello in Firm LPL Financial LLC

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angelo Anello (Anello), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Anello recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 05, 2025.

Customer alleges that an investments made were unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker James Ganther in Firm Principal Securities, Inc.

March 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 31, 2025.

The clients allege that they were not made aware that by annuitizing the variable annuity contracts that their income would increase and cause additional tax obligations.

There are Recent Customer Complaints with Broker Fera Shivaee in Firm Centaurus Financial, Inc.

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fera Shivaee (Shivaee), currently associated with Centaurus Financial, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shivaee 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 February 03, 2025.

The customers allege that in 2020 through 2024, the Registered Representative recommended unsuitable, high-risk, speculative and illiquid investments.

Broker Williams Butcher in Independent Financial Group, LLC Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Williams Butcher (Butcher), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Butcher 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 $100,000.00 on February 11, 2025.

Claimant alleges unsuitable recommendations into high-risk bonds.

Broker Jason Klein in UBS Financial Services Inc. Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Time Frame: December 1st, 2022 to July 31st, 2024\, What were the allegations against the individual – The client alleges they were placed in unsuitable investments based on their age and investment knowledge and the investments were misrepresented.

Broker Alan Harrison in Concorde Investment Services, LLC Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Harrison (Harrison), currently associated with Concorde Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Harrison 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 $125,000.00 on February 10, 2025.

Statement of claim alleges Breach of Fiduciary Duty, Violation of FINRA Rules, Breach of Contract, and Negligence related to investment made in 2019.