Securities Lawyers Blog

There are Recent Customer Complaints with Broker David Crawford in Firm David Lerner Associates, INC.

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Crawford (Crawford), previously associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Crawford 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 $15,808.18 on July 16, 2020.

Crawford was a subject of the customer’s complaint against his member firm and/or other named respondent(s) that asserted the following causes of action: failure to timely execute sale; and breach of fiduciary duty. The causes of action relate to sale of Lord Abbett mutual fund.

Broker Tyler Bashaw in Kingswood Capital Partners, LLC Firm Has Customer Complaint

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Bashaw (Bashaw), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bashaw 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 July 14, 2020.

Newbridge Securities Corporation is a named party of an arbitration with the allegation of negligence, breach of fiduciary duty, and negligent supervision. The registered representative, Tyler Bashaw, was not named in the arbitration and was only mentioned in the subject of the statement of claim.

There are Recent Customer Complaints with Broker Samuel Izaguirre in Firm LPL Financial LLC

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Izaguirre (Izaguirre), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Izaguirre 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 $600,000.00 on July 07, 2020.

Claimant alleges losses in connection with her investments in alternative investments and an annuity. Claimant alleges she was misled about the details of the investments and therefore, incurred damages as a result of her purchases. Activity period: 5/8/14 to present.

There are Recent Customer Complaints with Broker Khary Miller in Firm LPL Financial LLC

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Khary Miller (Miller), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $21,420.00 on July 08, 2020.

Customer purhased reit in 2014 that has gone down in value and alleges representative told her at time of purchase that she would receive the investment principal plus all dividends at end of five years.

There are Recent Customer Complaints with Broker Timothy Ridge in Firm Sagepoint Financial, INC.

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Ridge (Ridge), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ridge 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 $50,000.00 on July 16, 2020.

It is alleged that customer’s investment in private fund was unsuitable

Broker Sean Starling in Nylife Securities LLC Firm Has Customer Complaint

April 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 16, 2020.

Customer alleges the Variable Annuity policy she purchased in June 2013 was initially understood to allow for withdrawals however she recently became aware that this policy does not allow for withdrawals, therefore she is requesting an exception in order to access her funds immediately.

There are Recent Customer Complaints with Broker Alphonse Arminio in Firm LPL Financial LLC

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alphonse Arminio (Arminio), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arminio 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 $13,922.00 on July 14, 2020.

Client has made allegations that the representative misstated investment risk and objectives.

There are Recent Customer Complaints with Broker Ryan Benning in Firm Berthel, Fisher & Company Financial Services, INC.

April 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 09, 2020.

The client alleges the investments he purchased between 2014-2016 were illiquid and not suitable for him. In addition, the client alleges that the product sponsor’s offerings were misrepresented. The client also alleges the firm was negligent and failed to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Nicholas Jr. Canuso in Firm LPL Financial LLC

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Jr. Canuso (Canuso), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Canuso 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 $110,000.00 on July 16, 2020.

Claimant alleges unsuitability in connection with one alternative investment purchase made seven years ago, and requests rescission and other compensatory damages. Activity period: 5/2013 – 6/2020

Broker Nathan Lundquist in Voya Financial Advisors, INC. Firm Has Customer Complaint

April 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 08, 2020.

Alleged breach of fiduciary duties by over-concentrating in the energy sector.