Securities Lawyers Blog

There are Recent Customer Complaints with Broker Armani Miller in Firm UBS Financial Services INC.

March 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 18, 2020.

Time Frame: August 3, 2020 to August 25, 2020 \<char_lb_r>\, What were the allegations against the individual? The client alleges his annuity contract was surrendered without his authorization. The alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker William Stephenson in Firm the Leaders Group, INC.

March 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 23, 2020.

The complainant alleges that the variable annuity that was sold to her in 2020 wasn’t suitable for her needs, and, that she wasn’t advised about the penalties associated with the product.

There are Recent Customer Complaints with Broker Daniel Beck in Firm Equitable Advisors, LLC

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Beck (Beck), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beck 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 $38,251.72 on November 24, 2020.

Clients allege the RR sold them unsuitable variable life insurance products in 2018.

There are Recent Customer Complaints with Broker Gregory De Castro in Firm J.P. Morgan Securities LLC

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory De Castro (De Castro), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that De Castro 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 November 24, 2020.

Client alleges misrepresentation and suitability relating to withdrawal from mutual fund investment. Activity date 12/19/19. This matter has moved to Arbitration.

Broker Alisha Bush in MML Investors Services, LLC Firm Has Customer Complaint

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alisha Bush (Bush), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bush 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 $7,711.83 on November 24, 2020.

Customers alleged that the representative misled them as to the length of the annuity contract’s surrender period, made changes to the application without consent, and omitted their rights under the free look period when soliciting the sale in and around April of 2020.

There are Recent Customer Complaints with Broker Francis Dougherty in Firm LPL Enterprise, LLC

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Dougherty (Dougherty), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dougherty 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 $1,000,000.00 on November 20, 2020.

Customer alleges unsuitable alternative investment recommendations. Activity period: 7/15/15 to 11/20/20.

There are Recent Customer Complaints with Broker Christopher Meadows in Firm Fidelity Brokerage Services LLC

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Meadows (Meadows), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meadows 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 $165,000.00 on November 20, 2020.

Customer alleged that the representative recommended an investment product offered by an unaffiliated RIA that was not suitable given the customer’s risk profile.

Broker Alfred Amato in LPL Financial LLC Firm Has Customer Complaint

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfred Amato (Amato), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Amato 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 $54,000.00 on November 20, 2020.

Customer alleged that investment in business development company was misrepresented and unsuitable, and sought recovery of initial investment. Activity period: 12/9/14 to 12/9/14.

Broker Michael Bates in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 22, 2020.

The customer alleges unauthorized trading in March 2020.

Broker Heath Grossman in Silver Oak Securities, Incorporated Firm Has Customer Complaint

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heath Grossman (Grossman), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Grossman 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 November 24, 2020.

Customer allegations against Silver Oak Securities include failure to supervise, suitability rule violations and failure to conduct adequate due diligence.