Securities Lawyers Blog

There are Recent Customer Complaints with Broker Grace Choi in Firm Equitable Advisors, LLC

May 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 27, 2024.

Claimant alleges REIT purchased in 2015 was unsuitable.

There are Recent Customer Complaints with Broker Craig Isaacson in Firm Wells Fargo Clearing Services, LLC

May 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 27, 2024.

Customer verbally complained that she did not wish to have individual stocks sold, causing taxes on capital gains, when she incepted into a managed account program. (4/23/2023-3/27/2024)

There are Recent Customer Complaints with Broker Frederick Salus in Firm Wells Fargo Clearing Services, LLC

May 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Salus (Salus), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Salus 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 $595,000.00 on September 06, 2024.

Attorney for customers complains that the financial advisor’s Advice and management were not in line with the customer’s investment objectives, resulting in missing significant gains, and that fees were not discussed and did not provide a better investment outcome. (3/21/2006-9/6/2024)

There are Recent Customer Complaints with Broker William Esposito in Firm Osaic Wealth, INC.

May 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Esposito (Esposito), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Esposito 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 $10,000.00 on March 27, 2024.

Claimant alleges unsuitable recommendation and sale of an alternative investment.

Broker Jerome Messana in Aegis Capital Corp. Firm Has Customer Complaint

May 23, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jerome Messana (Messana), currently associated with Aegis Capital Corp., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Messana 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 $300,000.00 on July 19, 2024.

From approximately 1/2009 – 10/2021 customer claims suitability, churning, unauthorized trading, failure to supervise, fraud & misrepresentation (Violations of Securities Law), unjust enrichment, lost opportunity damages, punitive damages and unsuitable use of margin. Note that the customer does not specify any trade dates or products so the dates the account was opened was provided along with the general type of securities purchased and sold.

There are Recent Customer Complaints with Broker Scott Olson in Firm Innovation Partners LLC

May 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Olson (Olson), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olson 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 $500,000.00 on March 29, 2024.

Allege investments were not suitable and were not in line with his stated investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Kevin O’sullivan in Firm Commonwealth Financial Network

May 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin O’sullivan (O’sullivan), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that O’sullivan 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 September 19, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Anthony D’angelo in Firm Fmsbonds, INC.

May 22, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anthony D’angelo (D’angelo), currently employed by Fmsbonds, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), D’angelo’s most recent customer complaint alleges that D’angelo recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $25,000.00 on September 24, 2024.

In the wake of the pandemic, customer alleges that he wanted to sell his bond position during their technical default/bankruptcy when there was still a market for them mid 2022. Now 2024 there is no market, and the bonds have not been restructured. Alleges broker did not follow instructions, provided poor information and customer service.

Broker Timothy O’brien in Ausdal Financial Partners, INC. Firm Has Customer Complaint

May 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy O’brien (O’brien), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that O’brien 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 October 10, 2024.

Breach of fiduciary duty, negligence, breach of contract, negligent supervision, violation of applicable laws and industry rules; unsuitable recommendation

Broker Alex Love in Fidelity Brokerage Services LLC Firm Has Customer Complaint

May 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Love (Love), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Love 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 $250,000.00 on November 15, 2024.

Customer alleges that the registered representative made an unauthorized sale of stock.