Securities Lawyers Blog

There are Recent Customer Complaints with Broker Gustavo Vettorazzo Marcondes in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

April 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 23, 2026.

Client alleges misrepresentation, unsuitable recommendation, and omission of material facts.

There are Recent Customer Complaints with Broker Daniel Baumgold in Firm LPL Financial LLC

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Baumgold (Baumgold), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baumgold 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 $591,000.00 on February 23, 2026.

Client alleges advisor failed to disclose asset liquidation would result in a taxable event.

There are Recent Customer Complaints with Broker Simeon Hill in Firm Vanguard Marketing Corporation

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Simeon Hill (Hill), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 $15,000.00 on February 20, 2026.

Client alleges that $15,000 was withdrawn from her IRA account without her authorization.

Broker Nicholas Nanas in J.P. Morgan Securities LLC Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 23, 2026.

Client alleges misrepresentation and omission of material facts.

There are Recent Customer Complaints with Broker Nini Wu in Firm Morgan Stanley

April 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 20, 2026.

Client alleges, inter alia, misrepresentation with respect to purchase of alternative investment 2021

Broker Eldridge Bourque in S2k Financial LLC Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eldridge Bourque (Bourque), previously associated with S2k Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bourque 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 $20,000.00 on February 18, 2026.

Unsuitability – Dec 2020 & Dec2021

Broker Drew Peacock in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Peacock (Peacock), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Peacock 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 $150,000.00 on February 23, 2026.

Claimant alleges that respondents made inappropriate investment strategy recommendations that were wildly speculative and unsuitable, particularly the recommendation of low interest corporate bonds (Activision bonds) with extremely long maturities and that offered relatively low coupon payments.

Broker Brian Damasiewicz in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Damasiewicz (Damasiewicz), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Damasiewicz 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 $20,000.00 on February 23, 2026.

The clients have alleged that the Financial Advisor failed to reassess the suitablity of their portfolio of mutual funds as financial circumstances changed over time.

Broker Melissa Dixon in LPL Financial LLC Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melissa Dixon (Dixon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dixon 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 $591,000.00 on February 23, 2026.

Client alleges advisor failed to disclose asset liquidation would result in a taxable event.

Broker David Long in Edward Jones Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Long (Long), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Long 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 $10,000.00 on February 20, 2026.

The customer alleges that the former registered representative arranged a hard-money loan between the customer and a third party outside the Firm. The customer asserts that the loan has not been repaid and believes that the former registered representative and the third party May have acted together to defraud him of the loan proceeds.