Securities Lawyers Blog

Broker Robert Pipkins in Nylife Securities LLC Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 18, 2026.

Customer’s allegations question whether the Variable Annuity policies he purchased were appropriate products, and requests a financial analysis.

There are Recent Customer Complaints with Broker Enrique Lopez del castillo Franco in Firm Investment Planners, INC.

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enrique Lopez del castillo Franco (Lopez del castillo Franco), previously associated with Investment Planners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopez del castillo Franco 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 $10,000.00 on January 15, 2026.

In November of 2025, client sent a complaint alleging unauthorized trading for $10000 of preferred shares of Prospect Capital. Claim states she notified the advisor after their October 2024 meeting to not place the the preferred stock trade, to which she stated the financial professional confirmed via text message.

Broker Joel Chouinard in Nylife Securities LLC Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 20, 2026.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. 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.

Broker Rajeev Dhillon in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Rajeev Dhillon (Dhillon) 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 Dhillon was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity. If you have been a victim of Dhillon’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on January 16, 2026.

The client alleges misappropriation, altered documents and selling away from November 2022 to November 2023.

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

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Boyer (Boyer), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Boyer 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 $134,000.00 on January 20, 2026.

The client alleges in August 2025, the representative acted, caused, or allowed an unauthorized transfer of funds from her account, that was initiated by an approved full trading agent, without her authorization.

Broker Elizabeth Husserl in Integrity Alliance, LLC. Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Husserl (Husserl), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Husserl 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 $38,000.00 on January 16, 2026.

‘Customer allegations concerning mismanagement of customer’s investment advisory account.

There are Recent Customer Complaints with Broker Andrew Kahner in Firm UBS Financial Services INC.

April 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 16, 2026.

Time Frame: January 1, 2016 to January 16th, 2026\, What were the allegations against the individual? The client alleges that the UBS advisory fee billing methodology was not transparent

There are Recent Customer Complaints with Broker Katy Zhao in Firm Morgan Stanley

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katy Zhao (Zhao), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Zhao 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 January 20, 2026.

Claimant alleges, inter alia, breach of fiduciary duty with respect to the management of her investment account – 2021-2023

Broker Richard Perlongo in Spartan Capital Securities, LLC Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Perlongo (Perlongo), previously associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perlongo 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 $600,000.00 on January 15, 2026.

Alleges unauthorized trade and transacton losses

Broker Alwin Martinez Gonzalez in Investment Planners, INC. Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alwin Martinez Gonzalez (Martinez Gonzalez), previously associated with Investment Planners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinez 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 $10,000.00 on January 15, 2026.

In November of 2025, client sent a complaint alleging unauthorized trading for $10000 of preferredshares of Prospect Capital. Claim states she notified the advisor after their October 2024 meeting tonot place the the preferred stock trade, to which she stated the financial professional confirmed viatext message.