Securities Lawyers Blog

Broker Gustavo Ventura in Edward Jones Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 06, 2026.

Client alleges that the Registered Representative failed to conduct due diligence in connection with Know Your Customer.

Broker David Kangas in Wealthforge Securities, LLC Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Kangas (Kangas), currently associated with Wealthforge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kangas 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 $1,000,000.00 on April 02, 2026.

From investment activity in 2022, claimant alleges the following: negligence, lack of suitability, fraud, lack of due diligence, misrepresentation, failure to supervise, omitting material facts, breach of contract, and breach of fiduciary duty

Broker Mallory Spence in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mallory Spence (Spence), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Spence 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 $20,276.00 on April 02, 2026.

Client alleges misrepresentation of capital gains resulting in unexpected tax consequences.

There are Recent Customer Complaints with Broker Michael Kupferman in Firm Landolt Securities, INC.

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kupferman (Kupferman), currently associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kupferman 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 $800,000.00 on March 31, 2026.

Claimant alleges unsuitability, material misrepresentations, concealment, negligence, and breach of fiduciary duty in connection with an investment made in GWG L Bonds at his PRIOR firm.

Broker Steven Goethel in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Goethel (Goethel), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Goethel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on April 02, 2026.

Customer alleges misrepresentation and inadequate disclosure relating to alternative investments and claims that trading activity in her managed accounts resulted in unexpected tax consequences.

Broker Andrew Martz in LPL Financial LLC Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Martz (Martz), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martz 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 $80,000.00 on March 23, 2026.

Customer alleges violation of Reg BI

There are Recent Customer Complaints with Broker Sam Bhushan in Firm Cabin Securities, INC.

June 3, 2026 | by Staff Attorney

Previously financial advisor Sam Bhushan (Bhushan), previously employed by brokerage firm Cabin Securities, INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $140,000.00 on April 07, 2026.

Bhushan was named in the customer complaint regarding a reg D private placement. The complaint against his member asserted the following causes of action, fraud, misrepresentation, omissions of material facts, unsuitable recommendations, breach of contract, and breach of fiduciary duty.

Broker William Young in Ameriprise Financial Services, LLC Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Young (Young), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Young 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 $200,000.00 on March 30, 2026.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on March 30, 2026.

Broker Matthew Calhoun in Osaic Wealth, INC. Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

Currently financial advisor Matthew Calhoun (Calhoun), currently employed by brokerage firm Osaic Wealth, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $83,000.00 on March 26, 2026.

Customer alleges that the purchase of a private placement made while the financial professional was affiliated with a prior broker-dealer in 2024 resulted in losses.

Broker Daniel Makin in Raymond James Financial Services, INC. Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Makin (Makin), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Makin 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 31, 2026.

Client alleged they were paying fees for services they were not receiving. Allegation Activity Dates: 12/5/2024 through 11/17/2025. \,