Securities Lawyers Blog

There are Recent Customer Complaints with Broker Timothy Avila in Firm LPL Financial LLC

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Avila (Avila), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Avila 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 $58,000.00 on December 24, 2020.

Client alleges that Mr. Avila placed several short term trades that were unsuitable based on client’s age, employment status, risk tolerance and investment objectives.

There are Recent Customer Complaints with Broker Bryan Fiala in Firm Principal Securities, INC.

May 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 23, 2020.

The complainants allege their representative never invested their money in the Stock Market back in March 2020, when they transferred money from an IRA into a ROTH. As a result, they missed out on a market upswing, and are now facing a tax penalty as a result.

Broker Todd Ahrenholz in Osaic Wealth, INC. Firm Has Customer Complaint

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Ahrenholz (Ahrenholz), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ahrenholz 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 $25,000.00 on December 23, 2020.

Claimant alleges unsuitability in investment of alternative investment which caused financial harm. The allegations include negligence, professional negligence, violations of law, unsuitable recommendations, breach of contract, breach of fiduciary duty and breach of securities industry rules and regulations.

Broker Kyle Jobin in Osaic Wealth, INC. Firm Has Customer Complaint

May 27, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Kyle Jobin (Jobin) 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 Jobin was employed by Osaic Wealth, INC. at the time of the activity. If you have been a victim of Jobin’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on December 23, 2020.

The Wisconsin Office of the Commissioner of Insurance (‘OCI’) denied Mr. Jobin’s application for permanent individual intermediary agent’s insurance license based on Mr. Jobin’s ‘Yes’ answer to the question ‘Are you currently a party to, or have you ever been found liable in, any lawsuit, arbitrations, or mediation proceeding involving allegations of fraud, misappropriation or conversion of funds, misrepresentation or breach of fiduciary duty?’

There are Recent Customer Complaints with Broker Glenn Foerster in Firm Cabot Lodge Securities LLC

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Foerster (Foerster), previously associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Foerster 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 $49,900.00 on December 28, 2020.

The claimant is alleging common law fraud, Breach of fiduciary duty, and negligence against all respondents.

Broker Bruce Larsen in Forta Financial Group, INC. Firm Has Customer Complaint

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Larsen (Larsen), previously associated with Forta Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Larsen 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 $262,000.00 on December 29, 2020.

Improper Investment Recommendations, Failure to Perform Adequate Due Diligence

There are Recent Customer Complaints with Broker George Martin in Firm Calton & Associates, INC.

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Martin (Martin), previously associated with Calton & Associates, INC., 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 $40,000.00 on December 24, 2020.

Suitability, Breach of Fiduciary Duty and Negligence. Date was sometime in 2012

Broker William Mcdonough in LPL Financial LLC Firm Has Customer Complaint

May 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 23, 2020.

Claimant alleges that in 2014 the representative made unsuitable investment recommendations and concentrated claimant’s account in a non-traded, high-risk closed end fund contrary to claimant’s investment objectives.

There are Recent Customer Complaints with Broker Dennis Charleton in Firm Ameriprise Financial Services, LLC

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Charleton (Charleton), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Charleton 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 $90,000.00 on December 23, 2020.

Claimant alleges that he was recommended FSKR, an unsuitable, high-commission, illiquid alternative investment initially purchased at LPL.

There are Recent Customer Complaints with Broker Gerald Mang in Firm Capfinancial Securities, LLC.

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Mang (Mang), previously associated with Capfinancial Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Mang 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 $105,000.00 on December 24, 2020.

Claimant alleges that their financial advisor recommended unsuitable investments. Claimant generally alleges breach of contract, breach of fiduciary duty, misrepresentation, unjust enrichment, failure to supervise and negligence.