Securities Lawyers Blog

There are Recent Customer Complaints with Broker Michael Gant in Firm Ameriprise Financial Services, LLC

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Gant (Gant), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gant 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 $5,112.00 on August 08, 2025.

The client alleged the advisor did not follow instructions with agreed-upon actions in the client’s SEP IRA account in December 2022.

There are Recent Customer Complaints with Broker Christopher Campbell in Firm Raymond James Financial Services, INC.

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Campbell (Campbell), currently associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Campbell 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 $282,537.50 on August 12, 2025.

Plaintiffs allege investing in a real estate investment based on FAs' misrepresentations.

There are Recent Customer Complaints with Broker Travis Alexander in Firm Raymond James Financial Services, INC.

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Alexander (Alexander), previously associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Alexander 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 $282,434.75 on August 12, 2025.

Plaintiff alleges investing in a real estate investment based on FAs' misrepresentations.

There are Recent Customer Complaints with Broker David Yu in Firm Ifp Securities, LLC

October 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 08, 2025.

Claimants allege that investments purchased prior to 2016 were unsuitable.

There are Recent Customer Complaints with Broker John Mastrogianakis in Firm Truist Investment Services, INC.

October 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 13, 2025.

Client alleges the firm and advisor misrepresented information regarding an exchange from a variable annuity to a fixed Annuity.

There are Recent Customer Complaints with Broker Joshua Green in Firm Cetera Investment Services LLC

October 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 13, 2025.

Customer alleges unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Michael Mattiello in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mattiello (Mattiello), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mattiello 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 $15,000.00 on August 13, 2025.

Customer alleges unauthorized withdrawals from accounts.

Broker Richard Gorham in RBC Capital Markets, LLC Firm Has Customer Complaint

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gorham (Gorham), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gorham 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 $5,000.00 on August 13, 2025.

The client alleged a mutual fund investment, made in September 2021, was outside her documented risk tolerance.

There are Recent Customer Complaints with Broker Eugene Thompson in Firm Capital Investment Group, INC.

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Thompson (Thompson), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, 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 $444,000.00 on August 13, 2025.

Clients invested in GWG Holdings L-Bonds. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022., The Statement of Claim alleges breach of fiduciary duty, violations of NC Securities Act, constructive fraud, negligence, gross negligence, vicarious liability, and negligent supervision and retention.

There are Recent Customer Complaints with Broker Gregory Switzer in Firm Tiaa-cref Individual & Institutional Services, LLC

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Switzer (Switzer), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Switzer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 11, 2025.

Through an oral complaint, the client claimed to have received inaccurate information about the tax liability of withdrawals from their variable annuities.