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Articles Tagged with unsuitable investments

Anthony Buono (CRD#: 5761641), a registered representative with National Securities Corporation (CRD#: 7569) in New York, New York, is currently involved in a $150,000 customer dispute over unsuitable investments. On December 2, 2019, a client filed a complaint against Anthony Buono, alleging that the broker recommended unsuitable investments and breached his fiduciary duty, putting his […]

Jeff Michale (CRD#: 2998580), a registered representative with Ameriprise Financial Services, Inc. (CRD#: 6363) is currently involved in two customer disputes totaling $835,000, according to his BrokerCheck record accessed on January 22, 2020. On December 9, 2019, clients filed a customer complaint against Jeff Michale, alleging that he recommended unsuitable investments from 2015 to 2019. […]

Robert Gianchiglia (CRD#: 2117250), a registered representative with USA Financial Securities Corporation, is current involved in a $200,000 customer dispute, according to his BrokerCheck report accessed on January 7, 2020. Why is Robert Gianchiglia involved in this customer dispute? Clients, who filed the complaint on November 19, 2019, allege that Robert Gianchiglia misrepresented a private […]

Darren Oglesby (CRD#: 2480135), a registered representative with Money Concepts Capital Corp. (CRD#: 12963) in Monroe, Louisiana, is currently involved in a $100,000 customer dispute over suitability, according to his BrokerCheck record accessed on January 6, 2010. What happened to lead to Darren Oglesby’s involvement in this $100,000 customer dispute? Customers alleged that the investment […]

Francis Aurino (CRD#: 1754375), a registered representative with Morgan Stanley (CRD#: 149777) in Beverly Hills, California, is currently embroiled in a $685,610 customer dispute in which a client alleges that he recommended unsuitable investments from 2000 to 2019. When a broker recommends investment products, they should make sure that they are suitable for their clients. […]

John Santariello (CRD#: 5746158), formerly a registered representative with Arive Capital Markets (CRD#: 8060) in Coram, New York, is currently involved in a customer dispute in which a client alleges he engaged in churning, traded excessively, and recommended unsuitable investments, according to his BrokerCheck report accessed on October 1, 2019. The client is seeking $307,042 […]

A registered representative with Silver Oak Securities, Incorporated (CRD#: 46947) who does business as Magnate Wealth Management in Louisville, Kentucky, Neil Watkins (CRD#: 4456445) became involved in a customer dispute on August 13, 2019. A client alleges that he “recommended unsuitable investments,” according to his BrokerCheck report accessed on September 17, 2019. The investment products […]

Joseph Andreoli (CRD#: 1718688), a registered representative with Raymond James & Associates, Inc. in Hackensack, New Jersey, became involved in a customer dispute on August 26, 2019 in which a client alleges that he “made unsuitable investments,” according to his BrokerCheck record accessed on September 17, 2019. The dispute is pending. This is not the […]

Rob Snow (CRD#: 3203253), a registered representative with Morgan Stanley in Houston, Texas, became involved in a customer dispute on July 19, 2019. A client’s attorney alleges that, among other things, Rob Snow recommended unsuitable investments from April 2017 to April 2019, according to his BrokerCheck record accessed on August 21, 2019. The securities product […]

Lawrence Brazie (CRD# 857097), a registered representative with Westminster Financial Securities, Inc. in Dayton, Ohio, is currently involved in a customer dispute, filed on June 25, 2019, in which a client alleges “unsuitable investments, negligent hiring, failure to supervise, misrepresentations and omissions, and breach of purported settlement agreement,” according to his BrokerCheck record. The claimant […]

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