Securities Lawyers Blog

Broker Mitchel Lopez in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

August 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchel Lopez (Lopez), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lopez 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 $84,219.00 on April 21, 2020.

Client alleged they were misinformed about product features

There are Recent Customer Complaints with Broker Marc Ridell in Firm Morgan Stanley

August 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Ridell (Ridell), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ridell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 23, 2020.

Time frame: Early 2017-Present \<char_lb_r>\, \<char_lb_r>\, Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Gregory Osterland in Firm Hornor, Townsend & Kent, LLC

August 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Osterland (Osterland), currently associated with Hornor, Townsend & Kent, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Osterland 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 $57,672.00 on April 21, 2020.

Client alleges that the purchase of two variable annuities and a life insurance policy were not suitable and in her best interest. The client is requesting a waiver of the surrender charges for both annuities and the return of the total premium paid on the fixed life insurance policy.

There are Recent Customer Complaints with Broker Jed Conradi in Firm Edward Jones

August 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jed Conradi (Conradi), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Conradi 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 $70,000.00 on April 20, 2020.

The client alleges the financial advisor misrepresented that he could get out of investments and be made whole.

There are Recent Customer Complaints with Broker Kwasi Aggor in Firm Td Ameritrade, INC.

August 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kwasi Aggor (Aggor), previously associated with Td Ameritrade, INC., has at least 4 disclosable events. These events include 2 customer complaints, 2 regulatory events, alleging that Aggor 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 $10,000,000.00 on April 22, 2020.

Claimant alleges that RR misrepresented his qualifications and authority, and made unsuitable recommendations and transactions for Claimants’s accounts, in violation of firm policy.

There are Recent Customer Complaints with Broker Henry Crosby in Firm Hightower Securities, LLC

August 12, 2026 | by Staff Attorney

Currently financial advisor Henry Crosby (Crosby), currently employed by brokerage firm Hightower Securities, LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 settled customer complaint with a damage request of $100,001.00 on April 23, 2020.

Henry Crosby is the subject of a FINRA arbitration alleging certain sales practice violations, including a violation of suitability obligations, in connection with a private placement investment made on or around December 2016.

Broker James Kelly in UBS Financial Services INC. Firm Has Customer Complaint

August 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Kelly (Kelly), currently associated with UBS Financial Services INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Kelly 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 $6,000,000.00 on April 24, 2020.

Time frame: Unspecified \<char_lb_r>\, Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Jack Cayce in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

August 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Cayce (Cayce), currently associated with Purshe Kaplan Sterling Investments, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cayce 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 $100,000.00 on April 21, 2020.

Client claims that investment was unsuitable and Firm did not conduct its proper due diligence prior to selling GPB to its clients.

Broker Stephen Ferencik in Arkadios Capital Firm Has Customer Complaint

August 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Ferencik (Ferencik), currently associated with Arkadios Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ferencik recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 23, 2020.

Unsuitable product during 2018-2019

Broker Marcus Johnson in Edward Jones Firm Has Customer Complaint

August 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Johnson (Johnson), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Johnson 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 $400,000.00 on April 23, 2020.

The Claimant, a living trust, alleges that the trustor was not an authorized party on the trust account the trustor opened, and therefore, the trustor was not authorized to give the financial advisor instruction to withdraw $400,000.00 from the account in early 2020.