Securities Lawyers Blog

There are Recent Customer Complaints with Broker Ali Taj in Firm Talley & Company

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ali Taj (Taj), previously associated with Talley & Company, has at least one disclosable event. These events include one tax lien, alleging that Taj recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 05, 2024.

Alleged antifraud, registration and custody violations

Broker Angela Zachman in LPL Financial LLC Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Zachman (Zachman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zachman 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 $40,000.00 on September 05, 2024.

Claimant alleges representative recommended unsuitable investments during the time period December 2014 – May 2022.

Broker Mark Roberts in Creativeone Securities, LLC Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Roberts (Roberts), currently associated with Creativeone Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roberts 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 $650,000.00 on September 06, 2024.

Claimant claims an inappropriate investment strategy involving insurance was sold to him resulting in a loss.

There are Recent Customer Complaints with Broker Randy Fox in Firm Gt Securities, Inc.

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Fox (Fox), previously associated with Gt Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 $120,000.00 on September 06, 2024.

Negligent supervision and due diligence, improper conduct, breach of fiduciary duty. Approval of unsuitable, illiquid investment.

Broker Joseph Giordano in Aegis Capital Corp. / Acceptus Capital Corp. Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Giordano (Giordano), currently associated with Aegis Capital Corp. / Acceptus Capital Corp., has at least one disclosable event. These events include one tax lien, alleging that Giordano recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 06, 2024.

The New York State Department of Financial Services alleges the Respondent provided materially incomplete information within the meaning of Section 2110(a)(2) of the Insurance Law in six of the Respondent’s renewal applications for an agent’s license pursuant to Section 2103(a) of the Insurance Law, submitted to the Department on April 7, 2011, March 13, 2013, March 3, 2015, March 9, 2017, November 15, 2018, and March 4, 2021, respectively, in that in each application the Respondent failed to disclose that on or about October 10, 2007, Respondent was assessed a fine by the Financial Industry Regulatory Authority.

Broker John Egan in Western International Securities, Inc. Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Egan (Egan), previously associated with Western International Securities, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Egan 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 $5,000.00 on September 06, 2024.

Customer alleges that an investment recommendation was unsuitable.

There are Recent Customer Complaints with Broker Thomas Rinek in Firm LPL Financial LLC

March 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 05, 2024.

Without admitting or denying the findings, Rinek consented to the sanctions and to the entry of findings that he improperly sent nonpublic personal information of his member firms’ customers to his personal email address without the customers’ knowledge or consent and in contravention of his firm’s procedures. The findings stated that the information included customer names, social security and tax identification numbers, dates of birth, securities account numbers, securities positions, physical addresses, and phone numbers. Rinek improperly retained this information after his termination from his member firm, while associated with another firm, but has since deleted it.

Broker Edgardo Cabanillas in UBS Financial Services Incorporated of Puerto Rico Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 06, 2024.

Time frame: Unspecified \, Allegations: Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Andre Davis in Paulson Investment Company LLC Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andre Davis (Davis), previously associated with Paulson Investment Company LLC, has at least one disclosable event. These events include one tax lien, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 06, 2024.

Davis caused a default of the Consent Order between \<char_lb_r>\, Respondent Andre P. Davis (“Davis”) and the New Jersey Bureau of Securities (“Bureau”) entered by the Bureau Chief on October 11, 2023 by failing to comply with its provisions.

Broker Michael Taglich in Taglich Brothers, Inc. Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

Currently financial advisor Michael Taglich (Taglich), currently employed by brokerage firm Taglich Brothers, Inc. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $876,101.98 on September 06, 2024.

The arbitration was filed September 2024 almost 9 years after the last investment with Taglich Brothers, Inc. (TBI). The Claimant is alleging the Respondents are responsible for his current financial circumstances 9 years after the last investment made through TBI.