Securities Lawyers Blog

There are Recent Customer Complaints with Broker Caleb Miranda in Firm Equitable Advisors, LLC

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Caleb Miranda (Miranda), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miranda 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 $139.30 on March 13, 2024.

Client contacted the service center and alleged that EQH Advisor electronically signed her name to documents related to opening a TSA application without her knowledge, consent or authority.

Broker Candace Huston in Fidelity Brokerage Services LLC Firm Has Customer Complaint

May 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $49,950.00 on March 14, 2024.

Customer alleges receiving incorrect information prior to agreeing to a managed account solution.

There are Recent Customer Complaints with Broker Richard Salinas in Firm Avantax Investment Services, INC.

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Salinas (Salinas), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Salinas 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 $5,000.00 on March 13, 2024.

Customer questioned suitability of his market-linked CD purchase based upon maturity date of the instrument.

There are Recent Customer Complaints with Broker Bradley Frisk in Firm Raymond James Financial Services, INC.

May 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 14, 2024.

Arbitration: Claimants allege that in or about February 2022, the financial advisor recommended they take out a loan through their investment account to pay off a building mortgage and the financial advisor made poor investment choices Complaint: Attorney for two linked entities complained the financial advisor invested funds without authorization and advised using a loan against securities, resulting in losses. (9/14/2022-6/30/2023).

There are Recent Customer Complaints with Broker Pamela Lizanich in Firm Nylife Securities LLC

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamela Lizanich (Lizanich), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lizanich 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 $499,999.00 on March 14, 2024.

Claimants allege the Representative recommended illiquid, complex and unsuitable alternative investments. Further, claimant alleges that representative altered forms and made materially false and misleading statements regarding the investments.

There are Recent Customer Complaints with Broker Adriano Pisarri in Firm the Leaders Group, INC.

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adriano Pisarri (Pisarri), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pisarri 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 $15,000.00 on March 13, 2024.

Claimant alleges RR Pisarri made misrepresentations and unsuitable recommendations in connection with a REIT.

Broker Evan Kirkpatrick in LPL Financial LLC Firm Has Customer Complaint

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Kirkpatrick (Kirkpatrick), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirkpatrick 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 $300,000.00 on March 15, 2024.

Customer alleges representative recommended alternative investments that were unsuitable for the customer’s investment profile and risk tolerance.

There are Recent Customer Complaints with Broker Anthony Mesquit in Firm Fidelity Brokerage Services LLC

May 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $49,950.00 on March 14, 2024.

Customer alleges receiving incorrect information prior to agreeing to a managed account solution.

There are Recent Customer Complaints with Broker Eric Marshall in Firm Osaic Wealth, INC.

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Marshall (Marshall), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Marshall 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 March 18, 2024.

Claimant alleges unsuitable recommendation and sale of alternative investment and unauthorized trading in bond portfolio.

There are Recent Customer Complaints with Broker Ashley Woodard in Firm Nylife Securities LLC

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ashley Woodard (Woodard), previously associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Woodard 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 $499,999.00 on March 14, 2024.

Claimants allege the Representative recommended illiquid, complex and unsuitable alternative investments. Further, claimant alleges that representative altered forms and made materially false and misleading statements regarding the investments.