Securities Lawyers Blog

Broker David Fowler in Proequities, INC. Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Fowler (Fowler), previously associated with Proequities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fowler 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 $175,000.00 on December 11, 2020.

Customer alleges unsuitable recommendations made for alternative investments.

There are Recent Customer Complaints with Broker Tara Rotfeld in Firm Edward Jones

March 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $21,572.00 on December 09, 2020.

Tara Leigh Rotfeld was a subject of the customer’s complaint against her member firm that asserted the following causes of action: negligence, negligent misrepresentation, and unsuitability. The causes of action related to Claimant’s allegation that the recommendation to transfer funds from their American Fund investments to other American Funds investments was negligent and unsuitable.

Broker Steven Woods in Stirlingshire Investments Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Steven Woods (Woods), currently associated with Stirlingshire Investments, has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Woods 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 $200,123.00 on December 11, 2020.

Client alleges overconcentration, unsuitability and excessive trading

There are Recent Customer Complaints with Broker Ronald Segon in Firm LPL Financial LLC

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Segon (Segon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Segon 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 December 14, 2020.

Claimant alleges that Registered Representative recommended investments in real estate investment trusts (REITS) but failed to disclose their illiquid and speculative nature.

Broker Manuel Paredes in First Standard Financial Company LLC Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manuel Paredes (Paredes), previously associated with First Standard Financial Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paredes 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 $462,431.58 on December 11, 2020.

Client alleges unsuitability, overconcentration and excessive commissions.

Broker Thomas Maguire in Integrity Alliance, LLC. Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Maguire (Maguire), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Maguire 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 $300,000.00 on December 09, 2020.

Claimant alleges Maguire misrepresented the timing of exit from VUL positions.

Broker William Platt in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 14, 2020.

Clients allege Mr. Platt’s unaffiliated RIA firm Momentum Advisors misrepresented their purchase in GPB Waste Management LP and Vida Longevity Fund.

Broker Paul Prestia in Laidlaw & Company (UK) Ltd. Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Paul Prestia (Prestia), previously associated with Laidlaw & Company (UK) Ltd., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Prestia 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 $7,881.00 on December 11, 2020.

Client alleges overconcentration, unsuitability and excessive trading

There are Recent Customer Complaints with Broker James Salter in Firm J.P. Morgan Securities LLC

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Salter (Salter), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Salter 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 $2,126,000.00 on December 14, 2020.

Claimant has alleged unauthorized trading by accepting trade instructions from one account Trustee. Activity date 03/16/2020.

There are Recent Customer Complaints with Broker Kathryn Larson in Firm Ameriprise Financial Services, LLC

March 17, 2026 | by Staff Attorney

Previously financial advisor Kathryn Larson (Larson), previously employed by brokerage firm Ameriprise Financial Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on December 09, 2020.

Claimant alleges that she was recommended to invest in an unsuitable and risky product, FKSSR II, a privately traded BDC.