Securities Lawyers Blog

There are Recent Customer Complaints with Broker Brendan Behan in Firm D. Boral Capital

March 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Time frame: unspecified. Claimants allege unsuitable transactions.

There are Recent Customer Complaints with Broker James Chiaro in Firm LPL Financial LLC

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Chiaro (Chiaro), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chiaro 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 $171,000.00 on February 05, 2021.

Customer alleges that broker did not execute trades in customer’s account at the time he said he would, causing losses activity period 1/1/2020 to 5/31/2020

Broker Rafael Arthur Torres in Popular Securities, LLC Firm Has Customer Complaint

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rafael Arthur Torres (Arthur Torres), previously associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arthur Torres 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 $130,000.00 on February 08, 2021.

Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds and Puerto Rico municipal bonds was unsuitable and that their account was over-concentrated in these investments. They also allege that the risks of investing in and concentrating in PR investments were misrepresented.

Broker Kurt Rohrs in Independent Financial Group, LLC Firm Has Customer Complaint

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Rohrs (Rohrs), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rohrs 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 $158,000.00 on February 08, 2021.

Client, through his attorney, alleges that investment made was risk and unsuitable and not in line with his stated investment objectives.

There are Recent Customer Complaints with Broker James Schwartz in Firm Joseph Gunnar & CO. LLC

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Schwartz (Schwartz), previously associated with Joseph Gunnar & CO. LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Schwartz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Time frame: Unspecified. Claimants allege unsuitable investment.

There are Recent Customer Complaints with Broker Solomon Krispeal in Firm PHX Financial, INC.

March 9, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Solomon Krispeal (Krispeal), previously associated with PHX Financial, INC., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Krispeal concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $49,982.62 on February 04, 2021.

Krispeal was named in a customer complaint that asserted the following causes of action: Suitability, churning, unauthorized trading, fraud, misrepresentation, violation of Securities Law, breach of fiduciary duty, breach of contract, failure to supervise, unjust enrichment, Lost Opportunity Damages and Punitive Damages.

Broker Steven Luftschein in Joseph Stone Capital L.l.c. Firm Has Customer Complaint

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Luftschein (Luftschein), previously associated with Joseph Stone Capital L.l.c., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Luftschein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Time frame: unspecified. Claimants allege unsuitable investments.

There are Recent Customer Complaints with Broker W. Parker in Firm Raymond James & Associates, INC.

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker W. Parker (Parker), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Parker 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 $2,526,000.00 on February 04, 2021.

Parker was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty; misrepresentation and non-disclosure; negligence and gross negligence; breach of contract and warranties; violation of Mississippi Securities Act; failure to supervise; and control person liability.

There are Recent Customer Complaints with Broker Mark Hittner in Firm Royal Alliance Associates, INC.

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Hittner (Hittner), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hittner 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 $200,000.00 on February 03, 2021.

Claimants allege that Mr. Hittner recommended alternative investments that were unsuitable.

There are Recent Customer Complaints with Broker Jason Hicklen in Firm Edward Jones

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Hicklen (Hicklen), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hicklen 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 $42,078.96 on February 03, 2021.

A participant in the plan alleges his contributions to his 401K (Transamerica Variable Annuity) were not properly allocated which resulted in loss of market appreciation.