Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jason Jaynes in Firm Wells Fargo Clearing Services, LLC

April 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Jaynes (Jaynes), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jaynes 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 $18,000,000.00 on January 25, 2021.

The customers allege unsuitable investment recommendations and misrepresentations from February 2013 until December 2019.

There are Recent Customer Complaints with Broker Glenn Romer in Firm Center Street Securities, INC.

April 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Romer (Romer), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Romer 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 $1,000,000.00 on March 28, 2025.

Glenn Romer was named in a customer complaint that asserted the following causes of action: breach of fiduciary duty; violation of FINRA/NYSE rules, breach of contract and negligence; negligent supervision; violation of Illinois securities laws and other securities laws, acts and regulations; fraudulent inducement to hold investment; financial elder abuse; and unjust enrichment. The causes of action relate to Respondents’ alleged mishandling of Claimant’s assets by failing to properly allocate and diversify Claimant’s investment portfolio.

There are Recent Customer Complaints with Broker William Deichmann in Firm Morgan Stanley

April 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Deichmann (Deichmann), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Deichmann 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 $350,000.00 on June 07, 2024.

Client alleged that an options trading strategy was unsuitable.

Broker Ty Buckelew in Edward Jones Firm Has Customer Complaint

April 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ty Buckelew (Buckelew), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Buckelew 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 $700,000.00 on February 08, 2023.

Unsuitable investment recommendations not consist with risk profile resulting in a lost a substantial amount of capital.

Broker Michael Androulakis in Alexander Capital, L.p. Firm Has Customer Complaint

April 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Androulakis (Androulakis), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Androulakis 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 January 25, 2021.

Breach of Fiduciary Duty; Negligence; Improper Conduct; Breach of Contract; Violation of applicable laws and industry rules. Purchase made in 2015 through Present.

There are Recent Customer Complaints with Broker Thomas Chandler in Firm Ameriprise Financial Services, LLC

April 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Chandler (Chandler), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chandler 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 $50,000.00 on April 07, 2025.

Claimants allege a tax consequence related to transactions in their trust account.

There are Recent Customer Complaints with Broker Samuel Annitto in Firm Benjamin F. Edwards & Company, INC.

April 14, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Samuel Annitto (Annitto), previously associated with Benjamin F. Edwards & Company, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Annitto 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 $100,000.00 on January 25, 2021.

Claimant alleges that since 2014, she was sold unsuitable investments with high commissions without explanation of the risks involved and that improper withdrawals by a co-trustee were allowed to go unchecked.

Broker Samuel Mosey in Oakpoint Solutions, LLC Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

Currently financial advisor Samuel Mosey (Mosey), currently employed by brokerage firm Oakpoint Solutions, 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 pending customer complaint on November 05, 2025.

Between 2024 and 2025, the representative allegedly misrepresented a private placement, Airspace Data SPV III LLC.

Broker Alexandre Maltez in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 24, 2025.

Client expressed concerns relating to the performance of certain investments she purchased.

Broker Jeremiah Roman in PFS Investments INC. Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremiah Roman (Roman), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Roman 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 September 23, 2025.

Claimants, through counsel, allege that while jeremiah roman was associated with pfsi they gave money to roman to invest in an outside (non-pfsi) business not disclosed to pfsi.