Securities Lawyers Blog

There are Recent Customer Complaints with Broker Mark Damer in Firm Thurston, Springer, Miller, Herd & Titak, INC.

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Damer (Damer), currently associated with Thurston, Springer, Miller, Herd & Titak, INC., has at least one disclosable event. These events include one customer complaint, alleging that Damer 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 $150,000.00 on October 20, 2020.

Per Sanctuary Securities’ filing, ‘Customer alleges alternative investments were unsuitable.’

Broker Robert Campbell in Weild & CO. Firm Has Customer Complaint

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Campbell (Campbell), currently associated with Weild & CO., has at least one disclosable event. These events include one customer complaint, 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 $871,021.18 on October 16, 2020.

The plaintiff acting as the trustee of OneJet alleging excessive commissions.

Broker Mark Trewitt in Vfg Securities, INC. Firm Has Customer Complaint

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Trewitt (Trewitt), previously associated with Vfg Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Trewitt 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 $4,000,000.00 on October 15, 2020.

Misrepresentation, fraud, investments in unsuitable alternative investments, and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Hayes Clark in Firm Stifel, Nicolaus & Company, Incorporated

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hayes Clark (Clark), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $7,830.00 on October 20, 2020.

Client alleges registered representative traded excessively without the client’s knowledge or consent. Timeframe 3/17/18 through 9/15/20.

Broker Robert Donovan in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Donovan (Donovan), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Donovan 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 $550,000.00 on October 15, 2020.

Allegations as stated by Claimant: Time frame: January to March 2020\<char_lb_r>\, \<char_lb_r>\, Allegations: Claimants’ counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses. Claimants’ counsel further alleges financial advisor executed transactions that resulted in a substantial tax bill without adequately discussing the tax consequences with Claimants.

There are Recent Customer Complaints with Broker Jami Mcfeeters in Firm Edward Jones

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jami Mcfeeters (Mcfeeters), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mcfeeters 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 $17,850.00 on October 21, 2020.

The client alleges his former FA misrepresented by omission the consequences of moving his 401k over in relation to a loan he had against said 401k resulting in taxes and penalties being owed.

There are Recent Customer Complaints with Broker Cortez Patten in Firm Fidelity Brokerage Services LLC

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cortez Patten (Patten), previously associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patten 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 October 27, 2020.

Breach of fiduciary duty in connection with SOAEX

There are Recent Customer Complaints with Broker David Cohen in Firm Craft Capital Management LLC

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Cohen (Cohen), currently associated with Craft Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cohen 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 $900,000.00 on October 20, 2020.

Alleges unsuitable trading between September 2012 to March 2016

There are Recent Customer Complaints with Broker Feng Luo in Firm Transamerica Financial Advisors, LLC

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Feng Luo (Luo), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Luo 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 $472,800.00 on October 23, 2020.

Claimants alleged that representative misrepresented and materially omitted facts in the solicitation of unsuitable insurance products. Additionally, it was alleged that the representative fraudulently submitted a forged application to amend the policy’s face amount.

There are Recent Customer Complaints with Broker Mark Lohmann in Firm Citi Private Alternatives, LLC / Citigroup Global Markets INC.

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Lohmann (Lohmann), currently associated with Citi Private Alternatives, LLC / Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Lohmann 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 October 26, 2020.

Client alleges that they were not advised of the liquidity terms of a notice deposit product. Activity dates 07/20/2020-07/20/2020