Securities Lawyers Blog

Broker Zachary Brannon in Edward Jones Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 23, 2021.

The client alleges the financial advisor misrepresented the Franklin US Government Securities Fund (FKFSX) purchased on 9/1/2020.

Broker Arieh Israel in Nylife Securities LLC Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on June 23, 2021.

Without admitting or denying the findings, Israel consented to the sanction and to the entry of findings that he accepted a blank, signed check from an insurance customer that was intended for the customer’s policy premium. Israel instead then completed the check by making it payable to himself for $3,229, deposited the check into his own personal account, and used the funds for his own personal benefit. The findings stated that the customer did not give Israel permission or authorization to use funds for personal use. Israel did not repay any of the funds to the customer.

Broker Jimmy Martin in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jimmy Martin (Martin), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $30,000.00 on June 22, 2021.

The claimants are alleging that in April of 2015, the representative failed to adequately disclose they were investing in a risky high commission investment and that the investment was protected.\\u00a0 They claim they have lost their full investment due to a recent bankruptcy filing and are stating damages of $30,000.

Broker Daniel Jossen in Nylife Securities LLC Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Jossen (Jossen), previously associated with Nylife Securities LLC, has at least 5 disclosable events. These events include 4 customer complaints, one regulatory event, alleging that Jossen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Without admitting or denying the findings, Jossen consented to the sanction and to the entry of findings that he refused to produce information requested by FINRA in connection with a Form U5 filed for him, explaining that he was permitted to resign after it was discovered he solicited business in a jurisdiction in which he was not licensed, misrepresented the terms of variable products and maintained client log-in credentials in an outside brokerage account to process financial transactions.

There are Recent Customer Complaints with Broker Todd Mulligan in Firm Morgan Stanley

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Mulligan (Mulligan), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mulligan 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 $972,124.00 on June 25, 2021.

Mulligan was a subject of the customer’s complaint against his member firm that asserted the following causes of action: violation of FINRA Rule 2111; breach of duty; and violation of M.G.L. C. 93A.

Broker Allan Fiore in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allan Fiore (Fiore), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Fiore 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 $963,620.00 on June 23, 2021.

The customer alleges that the Financial Advisor placed her in an unsuitable investment strategy, made misrepresentations and made unauthorized trades in the account.

There are Recent Customer Complaints with Broker James Reynolds in Firm Northland Securities, INC.

February 12, 2026 | by Staff Attorney

Currently financial advisor James Reynolds (Reynolds), currently employed by brokerage firm Northland Securities, INC. 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 on June 24, 2021.

Claimaints are stating that non-traded REITS were unsuitable

Broker James Beaudoin in Great Point Capital LLC Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 21, 2021.

The clients allege the investments they purchased from 2014-2019 were unsuitable and misrepresented by the representative. The client also alleges the firm failed to conduct adequate due diligence and had an inadequate supervisory system.

There are Recent Customer Complaints with Broker Jeffrey Kiesnoski in Firm Concorde Investment Services, LLC

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Kiesnoski (Kiesnoski), currently associated with Concorde Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kiesnoski 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 $8,761.00 on June 23, 2021.

Claim alleges breach of contract, breach of duty of good faith and fair dealing, breach of fiduciary duty relating to an alleged hold recommendation given to the investor.

There are Recent Customer Complaints with Broker Carl Ishikawa in Firm Nylife Securities LLC

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Ishikawa (Ishikawa), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ishikawa recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 28, 2021.

Customer alleges the registered product he purchased in January 2015 did not meet his retirement needs at the time of sale and the product contains high fees and fewer investment options that would not allow him to invest his funds without a penalty.