Securities Lawyers Blog

Broker Ryan Arnold in LPL Financial LLC Firm Has Customer Complaint

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Arnold (Arnold), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arnold 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 $400,000.00 on January 05, 2026.

Customers claim representative recommended investment strategy in non-transparent, non-traded, complex products that were not in their best interests, and further claim that they were not properly advised on the potential tax consequences on the rollover of an annuity.

There are Recent Customer Complaints with Broker Garek Parry in Firm First Citizens Investor Services, INC.

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Garek Parry (Parry), currently associated with First Citizens Investor Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Parry 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 $27,781.00 on January 05, 2026.

Client alleges registered representative failed to follow instructions regarding a trade request. Activity dates 01/14/2026-02/04/2026.

There are Recent Customer Complaints with Broker Jason Salmon in Firm Fnex Capital, LLC

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Salmon (Salmon), currently associated with Fnex Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Salmon 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 $100,000.00 on January 08, 2026.

From investment activity in February 2020, claimants allege: failure to conduct reasonable due diligence, negligence, failure to make material disclosures, failure to conduct suitability, misrepresentation and omissions, branch of contract, breach of fiduciary duty

There are Recent Customer Complaints with Broker John Schiro in Firm Raymond James & Associates, INC.

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Schiro (Schiro), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schiro 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 $225,000.00 on December 18, 2025.

On 12/18/2025, the firm received a written customer complaint against the advisor alleging various claims, including but not limited to unsuitable investments.

There are Recent Customer Complaints with Broker Marc Korsch in Firm Arkadios Capital

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Korsch (Korsch), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Korsch 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 $130,000.00 on January 06, 2026.

The customers allege that in August of 2019 and in April of 2020, the Registered Representative recommended unsuitable, complex, investments.

There are Recent Customer Complaints with Broker Scott Mcbride in Firm LPL Financial LLC

April 12, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Scott Mcbride (Mcbride), currently employed by LPL Financial LLC 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), Mcbride’s most recent customer complaint alleges that Mcbride recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $15,000.00 on January 06, 2026.

Customer alleged misrepresentation of a structured product that was purchased in 2023

There are Recent Customer Complaints with Broker John Balmer in Firm Kingswood Capital Partners, LLC

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Balmer (Balmer), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Balmer 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 $100,000.00 on December 22, 2025.

Claimant complains of the acts of Respondent, KINGSWOOD CAPITAL PARTNERS, JOHN B. BALMER, collectively referred to herein as Respondents. As Public Investors, Claimant invokes the jurisdiction of the FINRA Dispute Resolution Services Division to have this claim for an aggregate between $100,000 and $500,000, plus interest and costs, heard before a Panel of THREE

Broker Marguerite Moisio in Cetera Investment Services LLC Firm Has Customer Complaint

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marguerite Moisio (Moisio), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moisio 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 $12,000.00 on January 06, 2026.

Clients alleged they understood the advisory fees to be 1% for their three accounts; however, they were charged fees in excess of that amount from the inception of the accounts.

There are Recent Customer Complaints with Broker Christopher Pesce in Firm Wells Fargo Advisors Financial Network, LLC

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Pesce (Pesce), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pesce 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 $140,000.00 on January 07, 2026.

Time frame: 2021-2024 The Trustee's attorney alleges the Financial Advisors recommended unsuitable long duration premium bonds based on the Grantor's age. The Trustee's attorney further alleges the Financial Advisors misrepresented that the principal would be preserved and income would be interest based. The Trustee's attorney finally alleges the strategy violated Regulation Best Interest.

There are Recent Customer Complaints with Broker Donald Abaunza in Firm Cetera Investment Services LLC

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Abaunza (Abaunza), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Abaunza 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 $12,000.00 on January 06, 2026.

Clients alleged they understood the advisory fees to be 1% for their three accounts; however, they were charged fees in excess of that amount from the inception of the accounts.