Securities Lawyers Blog

Broker Mark O’leary in Nylife Securities LLC Firm Has Customer Complaint

June 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark O’leary (O’leary), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that O’leary 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 $24,140.51 on October 06, 2021.

Claimant alleges that she was misled into purchasing an unsuitable investment in November 2017 and seeks the return of surrender charges, fees and market losses plus punitive damages and attorney fees.

There are Recent Customer Complaints with Broker William O’connor in Firm Bivo Financial LLC

June 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William O’connor (O’connor), previously associated with Bivo Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that O’connor 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 $110,000.00 on October 31, 2022.

Failed to supervise Tony Liddle

Broker Guillermo Roditi Dominguez in Cantella & Co., INC. Firm Has Customer Complaint

June 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on February 25, 2021.

On February 25, 2021, the NFA’s Business Conduct Committee issued a complaint alleging that Roditi & Roditi LLC (Roditi) failed to timely file pool quarterly reports with NFA, and that Roditi and Guillermo Roditi Dominguez (Dominguez) failed to supervise the firm’s compliance with its regulatory obligations. As a principal of the firm and its sole AP, Dominguez is the individual at Roditi responsible for ensuring the firm complies with its regulatory obligations. By reason of the foregoing acts and omissions, Dominguez is charged with violations of NFA Compliance Rule 2-9(a).

There are Recent Customer Complaints with Broker Denis Drummey in Firm Ameriprise Financial Services, INC.

June 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 19, 2020.

Customer complains about illiquidity of business development company, alleges that representative’s recommendation of business development company was unsuitable, and that his net worth was incorrectly stated on the account paperwork. Alleged activity dates are 7/24/14 – 7/24/14

Broker Stephanie O’hara in LPL Financial LLC Firm Has Customer Complaint

June 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on March 14, 2022.

The decision to offer 3.75% on the line of credit instead of 3.25% violated Reg BI and advice within investment strategy that claimant should borrow against the non-purpose loan at 3.75% rather than sell pledged stock (BGCP) which was paying 6% and disabusing claimant of claimant’s idea to liquidate shares to buy Florida home.

There are Recent Customer Complaints with Broker Gerard O’connell in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

June 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 24, 2022.

Client alleges misrepresentation related to a bond fund purchased in March 2022.

There are Recent Customer Complaints with Broker Lisa Jackson in Firm Cetera Wealth Services, LLC

June 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Jackson (Jackson), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 $145,000.00 on August 18, 2020.

Client alleged the products into which he invested in 2014 were misrepresented and unsuitable.

Broker Edward Simpson in Innovation Partners LLC Firm Has Customer Complaint

June 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Simpson (Simpson), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simpson 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 August 19, 2020.

Unsuitable Recommendations

Broker Michael O’meara in LPL Financial LLC Firm Has Customer Complaint

June 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael O’meara (O’meara), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that O’meara 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 $50,000.00 on March 24, 2022.

Claimants allege misrepresentation and omissions made by Respondent regarding a real estate investment trust investment. Activity date 1/1/2016 to 7/19/2019.

There are Recent Customer Complaints with Broker Robert D’andria in Firm International Assets Advisory, LLC

June 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert D’andria (D’andria), currently associated with International Assets Advisory, LLC, has at least one disclosable event. These events include one customer complaint, alleging that D’andria 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 $5,000.00 on September 14, 2020.

Unsuitability, unauthorized trading, fraud, breach of contract, negligent supervision, breach of fiduciary duty