Securities Lawyers Blog

Broker Valente Orozco Villasenor in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Valente Orozco Villasenor (Orozco Villasenor), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Orozco Villasenor 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 $11,279.00 on April 11, 2021.

The customer alleges misrepresentations.

Broker Justin Ennis in Edward Jones Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Ennis (Ennis), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Ennis 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 $7,664.89 on April 11, 2021.

Client alleges financial advisor made unauthorized trades that caused short term capital gains tax implications.

There are Recent Customer Complaints with Broker Jeremy Presley in Firm Alexander Capital, L.p.

February 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 12, 2021.

In January and February of 2016 the customers allege that the Registered Representative recommended unsuitable investments and over concentrated their positions

There are Recent Customer Complaints with Broker Faith Much in Firm Edward Jones

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Faith Much (Much), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Much 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 $12,351.00 on April 13, 2021.

The clients allege the financial advisor recommended they sell shares of EKJAX to avoid a take advantage of a loss; however, because the investment purchased with the proceeds was similar to the investment sold, the tax loss was disallowed which resulted in a significant tax liability to the client.

Broker Michael Hagan in E*trade Securities LLC Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 12, 2021.

In 2014, the customers allege that the Registered Representative, while at a prior broker/dealer, recommended unsuitable investments.

Broker Jian Cheng Li in Cetera Investment Services LLC Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 09, 2021.

Claimants allege that their registered representative recommended unsuitable investments.

Broker Alyssa Schultz in Pruco Securities, LLC. Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alyssa Schultz (Schultz), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 $70,000.00 on April 13, 2021.

The complainants allege that beginning in or around 2015, the rep sold them unsuitable securities and concealed the inherent risks of them, which caused them financial harm.

There are Recent Customer Complaints with Broker Yi Ping Chou in Firm Emerson Equity LLC

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yi Ping Chou (Chou), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chou 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 $200,000.00 on April 12, 2021.

Alleged Suitability and conflicts of interest dtd 6/10/2014

Broker Bernard Jasmin in PHX Financial, INC. Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Bernard Jasmin (Jasmin), previously associated with PHX Financial, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Jasmin concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $4,800,000.00 on April 12, 2021.

Fraud, Churning, Unauthorized trading, Excessive Commissions

Broker Richard Mukomela in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Mukomela (Mukomela), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mukomela 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 April 09, 2021.

The complainants allege that in 2014, they were solicited by the rep to invest in a REIT and were told that it was a solid, asset backed investment that would pay consistent income with principal protection. They have since learned that income is no longer being paid, it is non-traded, rated below investment grade and is subject to volatility, which has caused them to be financially damaged.