Securities Lawyers Blog

Broker Michael Bratton in State Farm Vp Management Corp. Firm Has Customer Complaint

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bratton (Bratton), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Bratton 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 September 11, 2023.

State Farm advised policyholders to reduce coverage on their homeowners insurance and subsequently had a claim.

Broker Steven Shaw in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Shaw (Shaw), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shaw 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 $50,000.00 on September 05, 2023.

Client alleges that the recommended investments were unsuitable based upon his investment profile. Investments were made between 2017 and January 2022

There are Recent Customer Complaints with Broker Scott Brown in Firm Wells Fargo Advisors Financial Network, LLC

July 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 07, 2023.

Customer complained that the financial advisor recommended securities not in her best interest, purchasing securities without authorization, and misrepresenting and failing to disclose facts. (4/17/2023-9/7/2023)

Broker Nicholas Ignatowski in LPL Financial LLC Firm Has Customer Complaint

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Ignatowski (Ignatowski), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ignatowski 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 $75,000.00 on September 11, 2023.

Plaintiff alleges unsuitable recommendation and negligent misrepresentation in the sale of variable annuities.

Broker Darren Moran in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darren Moran (Moran), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moran 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 $648,745.00 on September 13, 2023.

Claimant alleges in or around December 2017, her mother’s FA made unsuitable investments with regard to her Wells Fargo accounts.

There are Recent Customer Complaints with Broker Robert Doyle in Firm Axiom Capital Management, INC.

July 9, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Doyle (Doyle), currently associated with Axiom Capital Management, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Doyle concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on September 05, 2023.

Registered Representative took unauthorized discretion over the client’s account(s), excessive trading, suitability and fees.

Broker Ibrahim Kurtulus in Joseph Stone Capital L.l.c. Firm Has Customer Complaint

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ibrahim Kurtulus (Kurtulus), currently associated with Joseph Stone Capital L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Kurtulus 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 $875,000.00 on September 11, 2023.

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There are Recent Customer Complaints with Broker Jeffrey Gitterman in Firm Vanderbilt Securities, LLC

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Gitterman (Gitterman), currently associated with Vanderbilt Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gitterman 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 $100,000.00 on September 11, 2023.

Client claims misleading investment advice and failure to conduct reasonable due diligence in regards to the client’s investment in GPB Holdings II

There are Recent Customer Complaints with Broker Danny Baird in Firm Lifemark Securities Corp.

July 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 12, 2023.

Allegations pertain to an investment in an alternative product, intended to be a small component of a larger diversified portfolio. Unfortunately, the company that issued the investment has since filed Chapter 11 bankruptcy. As a result, the client is alleging there is a breach of fiduciary duty, negligence and negligent misrepresentation, breach of contract, failure to supervise, and violation of regulation best interest.

Broker James Schwarz in UBS Financial Services INC. Firm Has Customer Complaint

July 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 12, 2023.

Time Frame: January 23rd 2023 to June 12th 2023\, \, What were the allegations against the individual? The client’s attorney alleges the portfolio of preferred securities was an unsuitable investment and the strategy was an overconcentration for his client. The client’s attorney further alleges that the client’s were repeatedly advised that everything is safe. The alleged damages are estimated to be in excess of $5,000.00.