Securities Lawyers Blog

Broker Brandon Whaley in LPL Enterprise, LLC Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Whaley (Whaley), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whaley 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 September 20, 2020.

Client alleges misrepresentation regarding managed account investment. Activity dates 09/02/2020-09/02/2020.

There are Recent Customer Complaints with Broker David Llewellyn in Firm Cambridge Investment Research, INC.

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Llewellyn (Llewellyn), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Llewellyn 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 $216,000.00 on September 19, 2020.

Client alleges misrepresentation and unsuitable investment.

There are Recent Customer Complaints with Broker Kevin Hitz in Firm J.P. Morgan Securities LLC

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Hitz (Hitz), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hitz 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 September 21, 2020.

The allegations relate to alleged representations and omissions made in connection with the sale of an investment that resulted in a tax consequence for the client. Activity dates: 6/11/2019 – 6/25/2019.

Broker Frederick Hughes in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on September 21, 2020.

Client complained that the financial advisor did not follow his instruction to modify the strike price of an option position, resulting in the underlying stock being called away. (3/20/2020-8/31/2020)

Broker Dee Rippetoe in Sigma Financial Corporation Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dee Rippetoe (Rippetoe), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Rippetoe 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 $300,000.00 on September 23, 2020.

Statement of claim filed by Claimant’s Trustee alleges negligence, breach of fiduciary duty, breach of contract, material misrepresentations and omissions and failure to supervise. The investments were sold at a previous firm therefore the name of he firm and date is unknown.

There are Recent Customer Complaints with Broker William Harris in Firm Sigma Financial Corporation

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Harris (Harris), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Harris 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 $300,000.00 on September 23, 2020.

Statement of claim filed by Claimant’s Trustee alleges negligence, breach of fiduciary duty, breach of contract, material misrepresentations and omissions and failure to supervise. The investments were sold at a previous firm therefore the name of he firm and date is unknown.

Broker Thomas Migdale in Equitable Advisors, LLC Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Migdale (Migdale), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Migdale 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 $30,000.00 on September 21, 2020.

Claimant alleges unsuitable investment recommendations.

Broker Morey Perlmutter in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morey Perlmutter (Perlmutter), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perlmutter 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 $13,511.00 on September 21, 2020.

Time Frame: December 26, 2019\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges a failure to funding his DAF prior to year-end 2019

Broker Michael Pasquariello in UBS Financial Services INC. Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Pasquariello (Pasquariello), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Pasquariello 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 $13,511.00 on September 21, 2020.

Time Frame: December 26, 2019\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges a failure to funding his DAF prior to year-end 2019

There are Recent Customer Complaints with Broker Angela Mccarthy in Firm Ameriprise Financial Services, LLC

March 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $79,309.00 on September 18, 2020.

McCarthy was a subject of the customers’ complaint against her member firm and other named respondents that asserted the following causes of action: negligence and gross negligence; misrepresentation; omission of material fact; failure to supervise; breach of fiduciary duty; and breach of contract.