Securities Lawyers Blog

Broker Daniel Herrera in UBS Financial Services INC. Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 15, 2021.

POA alleges the Financial Advisor failed to invest the account as instructed.

There are Recent Customer Complaints with Broker Stanley Bradshaw in Firm Tobin & Company Securities LLC

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Bradshaw (Bradshaw), previously associated with Tobin & Company Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bradshaw 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 $1,500,000.00 on September 21, 2021.

Claimant alleges that representative made false and misleading statements in purportedly selling an unsuitable loan away from the firm.

Broker Brent Greninger in Buckman, Buckman & Reid, INC. Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Brent Greninger (Greninger) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Greninger was employed by Buckman, Buckman & Reid, INC. at the time of the activity. If you have been a victim of Greninger’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on September 20, 2021.

Claimants allege that FA recommended an unsuitable and unapproved outside private investment and also improperly recommended that Claimants fund the investment using margin.

Broker Caleb Gibson in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Caleb Gibson (Gibson), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gibson 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 $40,000.00 on September 20, 2021.

The client alleges that the FA misrepresented the call features of a zero coupon bond.

There are Recent Customer Complaints with Broker Julia Flores in Firm Oppenheimer & CO. INC.

January 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $20,000.00 on September 16, 2021.

CLIENT CLAIMS THAT HE WAS LOCKED OUT OF THE ACCOUNT AND UNABLE TO PLACE TRADES FROM FEBRUARY 1-3-2021.THE VALUE OF THE ACCOUNT DROPPED BY $20,000 DURING THAT TIME PERIOD. MARGIN CALLS INITIATED BY APEX WERE IMPROPER AND BASE ON INACCURATE CALCULATIONS OF THE BUYING POWER AND EQUITY IN THE ACCOUNT AND HE WAS UNABLE TO TRANSFER FUNDS FROM THE ACCOUNT TO A BANK ACCOUNT RESULTING IN HIS INABILITY TO PAY CERTAIN BILLS ON TIME.

There are Recent Customer Complaints with Broker Michael Haffling in Firm Arete Wealth Management, LLC

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Haffling (Haffling), previously associated with Arete Wealth Management, LLC, has at least 7 disclosable events. These events include 7 customer complaints, alleging that Haffling 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 $730,000.00 on September 14, 2021.

SALE OF UNSUITABLE, ILLIQUID, HIGH-RISK AND HIGH COMMISSION INVESTMENTS TO CLAIMANTS IN THEIR INDIVIDUAL AND IRA ACCOUNTS.

There are Recent Customer Complaints with Broker Jean Matthieu Josse in Firm A.g.p. / Alliance Global Partners

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jean Matthieu Josse (Josse), previously associated with A.g.p. / Alliance Global Partners, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Josse 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 September 21, 2021.

Investment performed poorly; no allegation of any sales practice violation.

There are Recent Customer Complaints with Broker Shawn Everett in Firm Regulus Financial Group, LLC

January 24, 2026 | by Staff Attorney

Currently financial advisor Shawn Everett (Everett), currently employed by brokerage firm Regulus Financial Group, LLC has been subject to at least one disclosable event. These events include one customer complaint. 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 on September 16, 2021.

Claimant alleges that the registered representative recommended unsuitable high-risk REITs.

There are Recent Customer Complaints with Broker Douglas Filipovits in Firm Cetera Advisors LLC

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Filipovits (Filipovits), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Filipovits 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 September 16, 2021.

Claimant alleges that their registered representative recommended unsuitable, high-risk, and illiquid investments.

There are Recent Customer Complaints with Broker Nicole Alexander Duvall in Firm Mwa Financial Services INC.

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Alexander Duvall (Alexander Duvall), currently associated with Mwa Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Alexander Duvall 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 $5,000.00 on September 20, 2021.

Client alleges the January 2016 recommendation to purchase a Symetra Advantage Income Single Premium Annuity (SPIA) in the amount of $99795.08 was mispresented.