Securities Lawyers Blog

Broker Shane Boehm in Raymond James Financial Services, INC. Firm Has Customer Complaint

December 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Boehm (Boehm), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Boehm 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 $1,500,000.00 on February 10, 2022.

Claimant alleges unsuitable investment recommendations that resulted in losses

Broker Corey White in Western International Securities, INC. Firm Has Customer Complaint

December 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Corey White (White), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that White 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 $16,440,221.00 on February 16, 2022.

Failure to Supervise

There are Recent Customer Complaints with Broker Michael Lawson in Firm Nylife Securities LLC

December 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lawson (Lawson), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lawson 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 $15,781.21 on February 14, 2022.

Customer alleges that he was misled regarding the surrender period and charges related to variable annuity purchased in January 2016.

Broker Kenneth Beber in Independent Financial Group, LLC Firm Has Customer Complaint

December 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Beber (Beber), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beber 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 $100,000.00 on February 14, 2022.

Alleges investment was not in line with client’s stated objectives.

Broker Karen Chung in Morgan Stanley Firm Has Customer Complaint

December 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karen Chung (Chung), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Chung 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 $16,440,221.00 on February 16, 2022.

Failure to Supervise

Broker Kendall Groom in Independent Financial Group, LLC Firm Has Customer Complaint

December 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kendall Groom (Groom), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Groom 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 $90,000.00 on February 14, 2022.

Client alleges their registered representative made unsuitable recommendations.

Broker Yu Chin Chen in Citigroup Global Markets INC. Firm Has Customer Complaint

December 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 09, 2022.

Claimant alleges unsuitable investment recommendations.

There are Recent Customer Complaints with Broker David Lademan in Firm LPL Financial LLC

December 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lademan (Lademan), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lademan 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 February 14, 2022.

Breach of Fiduciary Duty, unsuitible investments, negligent supervion, breach of contract

There are Recent Customer Complaints with Broker Edward Lubell in Firm UBS Financial Services INC.

December 8, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Edward Lubell (Lubell), currently employed by UBS Financial Services 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), Lubell’s most recent customer complaint alleges that Lubell 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 $99,000.00 on February 09, 2022.

Time frame: January 2012 -January 2022 \, \, Allegations: Claimant alleges UBS recommended unsuitable and esoteric structured products and notes without adequate warnings and details.

Broker Robert Brinckerhoff in Morgan Stanley Firm Has Customer Complaint

December 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 14, 2022.

Claimant alleges, inter alia, misrepresentation with respect to annuity investment – 2015 to 2018