Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jaimee Robinson in Firm Nylife Securities LLC

June 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 04, 2026.

The customer alleges that the recommendation to surrender an annuity at another company and purchase a variable annuity in January 2026 resulted in significant surrender charges and the loss of a premium bonus. The customer is requesting a formal review of this transaction, including the suitability of the recommendation, the characterization of the rollover, and the disclosures provided.\, \,

There are Recent Customer Complaints with Broker Sean Henderson in Firm Cco Capital, LLC

June 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Henderson (Henderson), previously associated with Cco Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henderson 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 $219,617.00 on April 29, 2026.

Investor alleged that Mr. Henderson misrepresented characteristics of an investment product to the investor\\u2019s financial advisor at an unaffiliated firm, and the investor purchased the investment through his financial advisor based on this information. Mr. Henderson did not directly interact with the investor.

Broker Nathan Westcomb in Ausdal Financial Partners, INC. Firm Has Customer Complaint

June 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Westcomb (Westcomb), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Westcomb 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 $40,000.00 on May 08, 2026.

Client alleges Unsuitable Recommendations, Breach of Fiduciary Duty, Negligence, Failure to Supervise, Misrepresentation and Omission, Violation of Finra Rules and industry standards related to illiquid/alternative investments purchased through his representative at Moloney Securities, and prior to moving his accounts to Ausdal. Mr. Westcomb is the CCO, and at no time has he been the client’s representative, nor did he supervise the transactions at issue as they were not purchased through Ausdal.

Broker Derrick Brauner in Ausdal Financial Partners, INC. Firm Has Customer Complaint

June 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derrick Brauner (Brauner), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Brauner 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 $400,000.00 on May 08, 2026.

Client alleges Unsuitable Recommendations, Breach of Fiduciary Duty, Negligence, Failure to Supervise, Misrepresentation and Omission, Violation of Finra Rules and industry standards related to illiquid/alternative investments purchased through his representative at Moloney Securities, and prior to moving his accounts to Ausdal.

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

June 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 06, 2026.

Plaintiffs allege that financial advisor engaged in unauthorized trading activity.

There are Recent Customer Complaints with Broker Samantha Hendricks in Firm Edward Jones

June 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samantha Hendricks (Hendricks), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hendricks 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 $300,000.00 on May 04, 2026.

Claimant alleges the registered representative (former spouse) engaged in unauthorized trading and withdrawals, restricted account access, and the firm failed to supervise, resulting in various negative consequences.

There are Recent Customer Complaints with Broker Grace T Damen in Firm UBS Financial Services INC.

June 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Grace T Damen (Damen), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Damen 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 $6,006.01 on May 01, 2026.

Time Frame: January 15th, 2020\, What were the allegations against the individual? The client\\u2019s Attorney alleges that despite clear instructions provided to pay $200,000 dollars to the IRS, only $100,000 was sent. \,

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

June 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Baldwin (Baldwin), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baldwin 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 $10,000.00 on May 08, 2026.

Client alleged advisor failed to invest funds upon receipt of deposit. Allegation Activity Dates: 3/19/2026 through 5/8/2026.\,

Broker Nathan Odegard in Ameriprise Financial Services, LLC Firm Has Customer Complaint

June 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Odegard (Odegard), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Odegard 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 $7,500.00 on May 06, 2026.

Claimant alleges that improper fee deductions for financial planning were made out of his Roth IRA account from 2020 \\u2013 2022. He claims that Respondent failed to explain the impact of these deductions and used a fee strategy inconsistent with preserving Roth IRA assets.

There are Recent Customer Complaints with Broker Melissa Williams in Firm Osaic Wealth, INC.

June 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melissa Williams (Williams), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $36,000.00 on May 02, 2026.

Customer alleges that representative recommended unsuitable investments prior to March 2024, including alternative/illiquid products, that were inconsistent with the customer\\u2019s risk tolerance and objectives, resulting in losses.