Churning (Excessive Trading)

Broker Steven Woods in Stirlingshire Investments Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Steven Woods (Woods), currently associated with Stirlingshire Investments, has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Woods 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 $200,123.00 on December 11, 2020.

Client alleges overconcentration, unsuitability and excessive trading

Broker Paul Prestia in Laidlaw & Company (UK) Ltd. Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Paul Prestia (Prestia), previously associated with Laidlaw & Company (UK) Ltd., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Prestia 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 $7,881.00 on December 11, 2020.

Client alleges overconcentration, unsuitability and excessive trading

There are Recent Customer Complaints with Broker Robert Yasnis in Firm Aegis Capital Corp.

March 17, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Yasnis (Yasnis), previously associated with Aegis Capital Corp., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Yasnis 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 $148,119.20 on December 11, 2020.

Client alleges overconcentration, unsuitability and excessive trading

There are Recent Customer Complaints with Broker David Murray in Firm Monmouth Capital Management LLC

March 17, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker David Murray (Murray), previously associated with Monmouth Capital Management LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Murray 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 $278,274.00 on December 11, 2020.

Client alleges overconcentration, unsuitability and excessive trading

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.

There are Recent Customer Complaints with Broker Francis Cunningham in Firm B. Riley Wealth Management

March 5, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Francis Cunningham (Cunningham), previously associated with B. Riley Wealth Management, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Cunningham 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 $18,469.04 on December 16, 2025.

Customer alleges unauthorized transfer of account, unauthorized purchases and sales of assets, and churning.

There are Recent Customer Complaints with Broker Sam Aziz in Firm David A. Noyes & Company

March 2, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Sam Aziz (Aziz), previously associated with David A. Noyes & Company, has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Aziz 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 February 16, 2021.

Attorney for clients complained of unsuitable and excessive trading. (10/14/2013-3/31/2015)

Broker Mandy Rofe in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 27, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Mandy Rofe (Rofe), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Rofe 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 March 11, 2021.

The attorney representing the customer alleges unsuitable investment recommendations and churning.

Broker Bernard Jasmin in PHX Financial, INC. Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Bernard Jasmin (Jasmin), previously associated with PHX Financial, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Jasmin 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 $4,800,000.00 on April 12, 2021.

Fraud, Churning, Unauthorized trading, Excessive Commissions

There are Recent Customer Complaints with Broker Todd Sanders in Firm PHX Financial, INC.

February 22, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Todd Sanders (Sanders), previously associated with PHX Financial, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Sanders 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 $4,800,000.00 on April 12, 2021.

Fraud, Churning, Unauthorized trading, excessive commissions