Securities Lawyers Blog

Broker Bradley Kurz in Edward Jones Firm Has Customer Complaint

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Kurz (Kurz), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Kurz 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 $62,765.94 on May 17, 2021.

The client alleges the financial advisor allowed unauthorized distributions from a court ordered restricted account.

There are Recent Customer Complaints with Broker Fabio Filgueiras in Firm Safra Securities LLC

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fabio Filgueiras (Filgueiras), currently associated with Safra Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Filgueiras 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 $19,186.00 on May 19, 2021.

Client alleged unauthorized trading and poor performance from 2019 through 2020.

There are Recent Customer Complaints with Broker Myles Easter in Firm Bankers Life Securities, INC.

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Myles Easter (Easter), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Easter 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 $50,000.00 on May 17, 2021.

In a Statement of Claim for Arbitration filed with FINRA and received by Bankers Life Securities, Inc. (Firm) on May 17, 2021, client named the financial representative, Myles Easter, as a Respondent and alleged that Mr. Easter made misrepresentations to induce the client to surrender two annuities, sold to the client by another firm, in order to purchase two Guaranteed Lifetime Income Annuities (GLIAs) issued by Bankers Life and Casualty Company (BLC), an insurance company affiliate of the Firm in December of 2018 . Client stated that BLC refunded the entire amount used to purchase the BLC GLIAs in September of 2019, but that once the client reinvested into new annuities with another outside institution, he lost many of the features of the previously held annuities and the policies provided less income and the client suffered lost opportunity damages. While the GLIAs sold to client were not securities and were issued by BLC, the Firm is reporting this arbitration because the source of funding for the GLIAs came from the sale of securities recommended by a registered representative of the Firm.

Broker Sarah Reznick in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sarah Reznick (Reznick), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reznick 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 $48,650.00 on May 18, 2021.

The client alleges the financial advisor provided misleading advice and misrepresented the sales charges associated with the purchase of John Hancock Funds in his account in April of 2021.

Broker Adam Figueroa in Ceros Financial Services, INC. Firm Has Customer Complaint

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Figueroa (Figueroa), currently associated with Ceros Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Figueroa 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 May 24, 2021.

Suitability

There are Recent Customer Complaints with Broker Shannon Crotty in Firm Blue Sand Securities LLC

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Crotty (Crotty), previously associated with Blue Sand Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crotty 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 $100,000.01 on May 24, 2021.

Claimants allege they were harmed by the sales of securities by two former Registered Representatives of Blue Sand Securities. The two former Registered Representatives were involved in an approved Outside Business Activity which claimant(s) state they were sold the securities of. The Statement of Claim does not state the exact date the claimants made investments in a private company and instead the claim lists the following months as to when investments in a private company claim to have been made – the months being April 2019, September 2019 or November 2019.

Broker Roberto Feria Cestero in Nationwide Planning Associates INC. Firm Has Customer Complaint

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roberto Feria Cestero (Feria Cestero), currently associated with Nationwide Planning Associates INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Feria Cestero 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 $120,000.00 on May 19, 2021.

Client’s allege overconcentration, unsuitability, breach of fiduciary duty, violations of securities laws and rules, breach of contract, negligence, fraud, false inducement to inaction, negligent supervision (Puerto Rico closed-end funds). Includes request for rescission, punitive damages, interest, costs, fees.

Broker Eduardo Pou Monagas in Nationwide Planning Associates INC. Firm Has Customer Complaint

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eduardo Pou Monagas (Pou Monagas), currently associated with Nationwide Planning Associates INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pou Monagas 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 $120,000.00 on May 19, 2021.

Client alleges overconcentration, unsuitability, breach of fiduciary duty, violations of securities laws and rules, breach of contract, negligence, fraud, false inducement to inaction, negligent supervision (Puerto Rico closed-end funds). Includes request for rescission, punitive damages, interest, costs, fees.

There are Recent Customer Complaints with Broker David Olson in Firm Charles Schwab & Co., INC.

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Olson (Olson), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Olson 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 $25,051.02 on May 18, 2021.

Client alleges representative did not follow allocation instructions provided in November 2019 which caused account losses. The client requested assets from an annuity transfer be invested into a mutual fund instead of a money market fund.

Broker Luisa Gonzalez in the Leaders Group, INC. Firm Has Customer Complaint

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luisa Gonzalez (Gonzalez), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez 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 May 21, 2021.

When your financial advisor is providing advice they must adhere to the SEC’s Regulation Best Interest (Reg BI) rule and standard of care. Reg BI replaced the former “suitability” rule and created a ‘best interest’ standard for brokerage firms and registered representatives. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts.