Securities Lawyers Blog

There are Recent Customer Complaints with Broker Joshua Shipley in Firm Dominari Securities LLC

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Shipley (Shipley), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shipley 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 $1,000,000.01 on April 01, 2025.

Misallocated shares of an IPO.

There are Recent Customer Complaints with Broker Ryan Barnhill in Firm LPL Financial LLC

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Barnhill (Barnhill), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barnhill 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 $70,000.00 on April 03, 2025.

Client alleges his former financial advisor made a series of unauthorized transactions selling his equities and treasury securities, and purchasing a new stock without his authorization. Client alleges this caused his portfolio value to significantly decrease.

Broker Aaron Rask in MML Investors Services, LLC Firm Has Customer Complaint

May 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 02, 2025.

Customer alleges the Variable Annuity policies she purchased in December 2020 and April 2021, respectively, were not clearly understood and does not believe these were the right investments.

There are Recent Customer Complaints with Broker Robert Romain in Firm Corecap Investments, LLC

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Romain (Romain), currently associated with Corecap Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Romain 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 $202,145.70 on April 01, 2025.

Due to a family emergency, Rep was called away from the office and was not able to purchase shares of stock requested by the clients on the requested day resulting in a financial loss when the share price rose. Despite best efforts to mitigate the financial loss on the following day by purchasing and selling the stock for a profit, the clients still experienced a financial loss sought financial compensation via the firm’s E&O policy.

Broker Henrique Lucena in Laidlaw & Company (UK) Ltd. Firm Has Customer Complaint

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henrique Lucena (Lucena), currently associated with Laidlaw & Company (UK) Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Lucena 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 April 01, 2025.

Claimant alleges unauthorized, unsuitable and negligent investment recommendations from 2021-2024

Broker Christopher Kirkland in Avantax Investment Services, INC. Firm Has Customer Complaint

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kirkland (Kirkland), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kirkland 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 $190,000.00 on April 02, 2025.

Customers alleged the investments they purchased were not suitable.

Broker Najat Rhoni in Dominari Securities LLC Firm Has Customer Complaint

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Najat Rhoni (Rhoni), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rhoni 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 $1,000,000.01 on April 01, 2025.

Misallocation of an IPO.

Broker Jesse Krapf in Spartan Capital Securities, LLC Firm Has Customer Complaint

May 16, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jesse Krapf (Krapf), previously associated with Spartan Capital Securities, LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Krapf concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on April 02, 2025.

Time Frame: 01.2023 to 12.2024. Excessive trading, Churning, Unsuitable investments, Failure to supervise

There are Recent Customer Complaints with Broker Jason Doneth in Firm Ameriprise Financial Services, LLC

May 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $550,000.00 on April 04, 2025.

Customer alleges they suffered losses as a result of unsuitable investment recommendations relating to a variable annuity.

There are Recent Customer Complaints with Broker Kyle Wool in Firm Dominari Securities LLC

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Wool (Wool), currently associated with Dominari Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wool 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 April 01, 2025.

Misallocated shares of an IPO.