Securities Lawyers Blog

Broker Larry Ware in Avantax Investment Services, INC. Firm Has Customer Complaint

April 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 13, 2024.

Customer alleged their investments were not suitable.

Broker Joseph Storzinger in IBN Financial Services, INC. Firm Has Customer Complaint

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Storzinger (Storzinger), currently associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Storzinger 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 $400,000.00 on June 17, 2024.

SOC alleges that during the period of his association with the Firm, Respondent was liable for: violations of FINRA Rules 2010, 2020, 2111, and 3280; negligence; and, breach of contract. The Respondents period of registration has been since December 2022.

There are Recent Customer Complaints with Broker Stephen Kiszlowski in Firm Center Street Securities, INC.

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Kiszlowski (Kiszlowski), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kiszlowski 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 $60,200.00 on June 16, 2024.

GWG bond was no suitable for the customer

There are Recent Customer Complaints with Broker Michael Shatsky in Firm Oppenheimer & CO. INC.

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Shatsky (Shatsky), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Shatsky 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 $788,000.00 on June 14, 2024.

Claimants allege that IAR did not accurately represent all material facts about their investment account and did not reasonably manage the account in 2020 and 2021.

There are Recent Customer Complaints with Broker Christopher Wright in Firm Charles Schwab & Co., INC.

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Wright (Wright), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Wright 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 $5,700.00 on June 14, 2024.

On or about November 21, 2021, the representative recommended to invest cash in cash sweep account so money could be readily accessed. The client alleges this was a poor recommendation because the cash sweep account allegedly paid little to no interest.

Broker George Gomez in LPL Financial LLC Firm Has Customer Complaint

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Gomez (Gomez), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gomez 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 $400,000.00 on June 13, 2024.

Estate executors allege that between 2014 and 2021, representative recommended certain alternative investments that were allegedly unsuitable for the client’s portfolio.

There are Recent Customer Complaints with Broker Paul Nathe in Firm Oppenheimer & CO. INC.

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Nathe (Nathe), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Nathe 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 $409,002.00 on June 14, 2024.

Claimant alleges that his stock portfolio was sold without his authorization. 2022 – present

There are Recent Customer Complaints with Broker Siria Pinkston in Firm Wells Fargo Clearing Services, LLC

April 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 17, 2024.

Beginning in 2014, Claimants allege their father’s Financial Advisor (FA) influenced him to misappropriate assets for the purpose of the FA’s personal gains.

Broker Richard Sheiner in Cibc World Markets Corp. Firm Has Customer Complaint

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Sheiner (Sheiner), previously associated with Cibc World Markets Corp., has at least one disclosable event. These events include one customer complaint, alleging that Sheiner 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 $584,407.00 on June 14, 2024.

[REDACTED] v. Richard K. Sheiner and CIBC Private Wealth Advisors, Inc.(PWA) -Plaintiff filed complaint in Circuit Court of Cook County Illinois, asserting four counts againstSheiner and PWA. Complaint alleges that Plaintiff agreed to set up an account withSheiner/PWA in the name of his wife only, and that Sheiner/PWA promised (a) not to depleteor encumber the account in any way without Plaintiff’s prior consent, and (b) to immediatelynotify Plaintiff if there were any risks of depletion or encumbrance of the account, except fornormal investment or trading losses. Claims include (i) breach of fiduciary duty, (ii) breach ofcontract, (iii) promissory estoppel, and (iv) equitable estoppel. Claimed damages of$584,407.00

Broker Abtin Bashirazami in Transamerica Financial Advisors, LLC Firm Has Customer Complaint

April 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Abtin Bashirazami (Bashirazami), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bashirazami 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 $241,666.58 on June 18, 2024.

Claimant alleges representative recommended that claimant liquidate his 529 savings and use an inheritance to fund a IUL policy. Claimant also alleges that represented misrepresented the IUL policy.