Securities Lawyers Blog

Broker Kenneth Ashe in Ameriprise Financial Services, INC. Firm Has Customer Complaint

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Ashe (Ashe), previously associated with Ameriprise Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ashe 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 $798,000.00 on April 12, 2020.

The client alleged his advisor misrepresented a variable universal life insurance policy in the Summer 2015 regarding the death benefit payout to be received when the insured reached age 100.

There are Recent Customer Complaints with Broker Orin Green in Firm Ameriprise Financial Services, INC.

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Orin Green (Green), previously associated with Ameriprise Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Green 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 $23,804.00 on April 13, 2020.

Client alleges that an investment (Catalyst/Warrington Strategic Program Fund ) was not in the client’s best interest due to its risk and costs.

There are Recent Customer Complaints with Broker Michael Walker in Firm Wells Fargo Clearing Services, LLC

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Walker (Walker), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Walker 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 $3,000,000.00 on April 14, 2020.

There are Recent Customer Complaints with Broker Vladislav Madatov in Firm Morgan Stanley

July 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 14, 2020.

Client complained that the financial advisor failed to terminate the advisory accounts as instructed. (3/19/2019-1/27/2020)

There are Recent Customer Complaints with Broker Jody Thompson in Firm Alexander Capital, L.p.

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jody Thompson (Thompson), previously associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Thompson 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 $1,100,000.00 on April 13, 2020.

POA alleges RR exerted undue influence over customer to influence a bequest in her Trust for RR’s children. Date of activity is unknown.

There are Recent Customer Complaints with Broker Gary Demetri in Firm Sw Financial

July 4, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Gary Demetri (Demetri), previously associated with Sw Financial, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Demetri 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 $665,953.07 on April 07, 2020.

Demetri was named in a customer complaint that asserted the following causes of action: unsuitability, unauthorized trading, churning, fraud, breach of fiduciary duty.

Broker Anthony Lapia in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 13, 2020.

Arbitration: Claimants allege FA over-concentrated their portfolio in unsuitable investments. \<char_lb_r>\, \<char_lb_r>\, Complaint:Attorney for clients complained that the financial advisor engaged in an unsuitable trading strategy, which did not match their investment objectives. (6/26/2015-11/30/2018)

There are Recent Customer Complaints with Broker John Berg in Firm Morgan Stanley

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Berg (Berg), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Berg 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 $300,000.00 on April 07, 2020.

Attorney alleged, inter alia, excessive trading with respect to investments in account – January 2018 thru December 2019.

Broker James Wagner in LPL Financial LLC Firm Has Customer Complaint

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Wagner (Wagner), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wagner 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 $10,000.00 on April 14, 2020.

Client alleges that advisor’s actions caused a delay in settling his deceased father’s acounts. Client alleges that the delay caused him to lose $10,000.00 due to a decrease in account values and the cost incurred in hiring an attorney. Alleged activity dates 2/13/2020 to 4/14/2020.

Broker Nick Son in A.g.p. / Alliance Global Partners Firm Has Customer Complaint

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nick Son (Son), currently associated with A.g.p. / Alliance Global Partners, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Son 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 $642,224.00 on April 08, 2020.

Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.