Securities Lawyers Blog

Broker Edward Hindman in Intervest International Equities Corporation Firm Has Customer Complaint

June 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Hindman (Hindman), previously associated with Intervest International Equities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hindman 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 $250,000.00 on December 08, 2023.

Claimant alleges Breach of Fiduciary duty and negligence, Failure to supervise, Material omissions, Breaches of contract and inadequate due diligence.

Broker Maneesh Gupta in PFS Investments INC. Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maneesh Gupta (Gupta), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Gupta 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 $17,869.55 on February 26, 2024.

Customer alleged I misrepresented the features of his fixed annuity contracts.

There are Recent Customer Complaints with Broker Logan Shalmi in Firm Oppenheimer & CO. INC.

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Logan Shalmi (Shalmi), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Shalmi 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 $99,000.00 on February 27, 2024.

Claimants assert claims for breach of fiduciary duty, violations of FINRA rules, breach of contract and negligence for the alleged failure to follow their investment goals and place sell orders. From 2021-2023.

There are Recent Customer Complaints with Broker Harrison Bauman in Firm Raymond James & Associates, INC.

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harrison Bauman (Bauman), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bauman 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 $220,000.00 on January 19, 2024.

Claimant alleges FAs failed to follow her instructions to re-invest dividends from specified securities.

There are Recent Customer Complaints with Broker Jose Lopera Guevara in Firm Truist Investment Services, INC.

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Lopera Guevara (Lopera Guevara), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopera Guevara 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 $500,000.00 on January 22, 2024.

Client alleges representatives made unsuitable recommendations.

Broker Matthew Gillette in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Gillette (Gillette), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gillette 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 $20,437.97 on February 26, 2024.

Customer alleging instructions to keep policy in force were not followed and policy was unintentionally surrendered.

Broker Adam Mahd in MML Investors Services, LLC Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Mahd (Mahd), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mahd 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 $200,000.01 on February 26, 2024.

The complainant alleges that since approximately 2021, his registered representative invested in volatile foreign companies, and risky bank and high-risk stocks, that were not suitable or in his best interest, that resulted in him losing over $200,000.

There are Recent Customer Complaints with Broker Jonathan Harvey in Firm Janney Montgomery Scott LLC

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Harvey (Harvey), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harvey 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 $499,000.00 on February 27, 2024.

Claimants allege that their accounts held unsuitable long term fixed income products.

Broker Kevin Fretz in LPL Financial LLC Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Fretz (Fretz), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fretz 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 $20,000.00 on February 27, 2024.

Customer alleges unsuitable recommendation

There are Recent Customer Complaints with Broker Michael Brickman in Firm Pruco Securities, LLC.

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Brickman (Brickman), previously associated with Pruco Securities, LLC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Brickman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 23, 2024.

Without admitting or denying the findings, Brickman consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection to its investigation into whether he accepted personal checks made out to himself from a client.