Securities Lawyers Blog

There are Recent Customer Complaints with Broker Michael Breard in Firm Cetera Advisor Networks LLC

April 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2024.

Customer alleges that investments made in 2014 and 2015 were unsuitable for the customer’s investment objectives and risk tolerance.

Broker Neil Barney in Allstate Financial Services, LLC Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Barney (Barney), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barney 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 $200,000.00 on June 26, 2024.

The representative recommended that she complete a partial transfer of company stock she held in her Company’s Profit Sharing Plan to an IRA brokerage account in 2021. However, the representative was unaware of the Net Unrealized Appreciation rule of the Internal Revenue Code. Because she made a partial transfer of the company stock from her PSP in 2021, and lost the advantages of the NUA rule, she missed out on tax advantages of over $200,000.

Broker Leonard Hirsh in Signature Estate Securities, LLC Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leonard Hirsh (Hirsh), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hirsh 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 $600,000.00 on July 02, 2024.

Option trading strategies (collar and call writing) are alleged to been inappropriate and are alleged to have resulted in losses, notwithstanding the fact that any loss was offset by gain elsewhere in the client’s portfolio.

There are Recent Customer Complaints with Broker Zachary Anderson in Firm UBS Financial Services INC.

April 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2024.

Time frame: 2021-2023\, Claimant alleges misrepresentation in the handling of options trading strategies for the claimant’s account, along with breach of fiduciary duty and negligence.

There are Recent Customer Complaints with Broker Michael Hoye in Firm Ausdal Financial Partners, INC.

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hoye (Hoye), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoye 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 $280,000.00 on July 02, 2024.

Violation of federal securities laws; violation of il consumber fraud and deceptive business practices act; violation of il securities law; breach of contract; common law fraud; breach of fiduciary duty; negligence and gross negligence.

Broker Roberto Leslie in Osaic Institutions, INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roberto Leslie (Leslie), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Leslie 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 $250,000.00 on June 27, 2024.

Failure to properly allocate and diversify claimants portfolio

Broker Richard Cardinale in PHX Financial, INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Richard Cardinale (Cardinale) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Cardinale was employed by PHX Financial, INC. at the time of the activity. If you have been a victim of Cardinale’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint on July 01, 2024.

Claimant alleges he was a victim of fraudulent private investments with counts of unsuitability, negligent supervision, common law fraud, breach of contract, breach of fiduciary duty and failure to warn.

Broker Luke Schunk in Moloney Securities Co., INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luke Schunk (Schunk), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Schunk 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 $50,000.00 on June 27, 2024.

Suitability/negligence. 2020

Broker Mark Rubin in Raymond James & Associates, INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 28, 2024.

Customer alleges FA sold certain stock that customer instructed FA not to sell and that FA then bought some back without consulting customer. Allegation Activity Dates: 2/8/24 – 6/28/24.

Broker William Carlton in Aegis Capital Corp. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Carlton (Carlton), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Carlton 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 $1,033,816.09 on June 28, 2024.

Client alleges the recommendation of unsuitable ETFs from 4/03/2023 to 1/24/2024.