Securities Lawyers Blog

There are Recent Customer Complaints with Broker Ronald Graft in Firm Wells Fargo Clearing Services, LLC

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Graft (Graft), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graft 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 $19,657.09 on June 14, 2022.

Client complained that the financial advisor misrepresented fees and premium costs of a recommended investment. (1/1/2022-5/9/2022)

There are Recent Customer Complaints with Broker Daniel Cuddy in Firm Cetera Wealth Services, LLC

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Cuddy (Cuddy), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cuddy 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 $27,000.00 on June 16, 2022.

Customer alleged the purchase of MicroStrategy Incorporated (MSTR) into her discretionary managed account was not suitable.

Broker Leif Olson in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 15, 2022.

Client complained that the financial advisor did not sell securities immediately as instructed, resulting in losses. (6/9/2022-6/15/2022)

There are Recent Customer Complaints with Broker Debra Logan in Firm Wells Fargo Clearing Services, LLC

November 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 17, 2022.

Trustee verbally complained that the financial advisor misrepresented that the margin rate would be fixed. (7/30/2018-6/17/22)

There are Recent Customer Complaints with Broker Robert Sitton in Firm Edward Jones

November 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 13, 2022.

The client alleges that the financial advisor did not place sell limit orders on June 7, 2022 for CVX and LNG.

Broker Kevin Albritton in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Kevin Albritton (Albritton), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Albritton 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 on June 21, 2022.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

Broker Jeffrey Scott in Edward Jones Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 27, 2022.

Client alleges FA misrepresented the call date of two corporate bonds and promised/guaranteed the bonds would be called in June 2022 and they were not called.

There are Recent Customer Complaints with Broker Charles Reyes in Firm Charles Schwab & Co., INC.

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Reyes (Reyes), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Reyes 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 $11,495.36 on June 26, 2022.

Client alleges poor recommendation/poor advice in August 2021, in connection with his account enrolled in Schwab Private Client.

There are Recent Customer Complaints with Broker Erin Wilmer in Firm Creativeone Securities, LLC

November 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 27, 2022.

06/27/2022 The client alleged the financial advisor needs to return all the items she gave her and the $1,500.00.\, $1,500 plus additional unspecified damages. Therefore, the firm cannot make a good faith determination that damages are less than $5,000.00.\, 08/08/2022 After completion of the firm’s investigation, client’s claim was resolved in the amount of $1,500.00.

There are Recent Customer Complaints with Broker Valerie Krebs in Firm LPL Financial LLC

November 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2022.

Arbitration: Beginning in the summer of 2021, Claimant states her Financial Advisor (FA) placed her in unsuitable investments as compared to her stated financial circumstances, objectives, and risk tolerance.\, \, Complaint: Client complained that the financial advisor assured her the account would grow and that the investments she was placed in were not in accordance of her financial objectives. (9/7/2021-6/22/2022)