Securities Lawyers Blog

Broker Ryan Young in Raymond James Financial Services, INC. Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2021.

CLIENT ALLEGES HE WAS NOT INFORMED OF THE TAX RAMIFICATIONS DUE TO THE CONVERSION OF EFT’S TO MUTUAL FUNDS AND INCURRED OVER $300,000 IN LONG TERM GAINS. THIS ACTIVITY OCCURRED ON OCTOBER 5, 2021.

There are Recent Customer Complaints with Broker James Pauliks in Firm Nylife Securities LLC

January 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 14, 2021.

Customer alleges when she purchased a variable annuity in October 2015, she was not informed that additional contributions would result in new surrender periods.

Broker Joshua Bitterman in First Allied Securities, INC. Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Bitterman (Bitterman), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bitterman 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 $50,000.00 on October 07, 2021.

Claimant alleges their former registered representative failed to disclose risks of certain alternative investments which claimant alleges were unsuitable.

Broker Matthew Perry in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Perry (Perry), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Perry 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 $140,000.00 on October 13, 2021.

Claimant alleges fraudulent misrepresentation, negligent misrepresentation, breach of fiduciary duty, violation of RSMO Sections 409.5-509 and 409.5-501 (General Fraud), breach of the duty of suitability, unauthorized trading, and negligence. Timeframe June 2016 through March 2019.

There are Recent Customer Complaints with Broker Franklin Lara in Firm Independent Financial Group, LLC

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franklin Lara (Lara), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lara 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 $469,130.00 on October 06, 2021.

Allege investments were not suitable and were not in line with clients stated objectives.

Broker Herbert Weith in Equitable Advisors, LLC Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Herbert Weith (Weith), previously associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Weith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 05, 2021.

Respondent Weith failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker John Drennan in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Drennan (Drennan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Drennan 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 $1,600,000.00 on October 08, 2021.

The customer alleges unsuitable investment advice and a failure to advise on the unforeseen tax consequences of selling stocks.

There are Recent Customer Complaints with Broker Jarred Collins in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jarred Collins (Collins), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Collins 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 $1,600,000.00 on October 08, 2021.

The customer alleges unsuitable investment advice and a failure to advise on the unforeseen tax consequences of selling stocks.

There are Recent Customer Complaints with Broker Thomas Rydell in Firm Royal Alliance Associates, INC.

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Rydell (Rydell), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rydell 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 $250,000.00 on October 14, 2021.

Claimant alleged that Respondents mismanaged his discretionary account by investing in unsuitable securities that underperformed the S&P 500.

There are Recent Customer Complaints with Broker Michael Barranco in Firm LPL Financial LLC

January 21, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Michael Barranco (Barranco) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Barranco was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Barranco’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $3,215,649.78 on October 06, 2021.

Claimants allege selling away, unsuitability, breach of fiduciary duties, fraud and/or negligence in connection with their investment in real estate. Activity period April 2013 to June 2017.