Securities Lawyers Blog

Broker Jeffrey Hallin in Cetera Advisor Networks LLC Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

Previously financial advisor Jeffrey Hallin (Hallin), previously employed by brokerage firm Cetera Advisor Networks 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 with a damage request of $30,000.00 on October 04, 2021.

Claimant alleges that their registered representative recommended unsuitable investments, including non-traded REITs.

Broker Lee Nordstrom in LPL Financial LLC Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Lee Nordstrom (Nordstrom), previously associated with LPL Financial LLC, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Nordstrom concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a final customer complaint on October 01, 2021.

Without admitting or denying the findings, Nordstrom consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA during the course of an investigation into whether he engaged in potential unsuitable and excessive trading in several customer accounts.

Broker Richard Holmes in Concourse Financial Group Securities, INC. Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Holmes (Holmes), previously associated with Concourse Financial Group Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Holmes 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 $512,000.00 on October 04, 2021.

Claimant seeks compensatory damages under MetLife DI policy alleging that his addiction to alcohol is a disability under which the policy should pay claims. Allegation of breach of contract and misrepresentation by agent. Policy was purchased April 1, 2002. Claim originally made in 2018.

Broker Steven Mitchell in UBS Financial Services INC. Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Mitchell (Mitchell), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mitchell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 29, 2021.

Respondent Mitchell failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Mark Young in Firm LPL Financial LLC

January 22, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Mark Young (Young) 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 Young was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Young’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 $4,179,859.03 on September 29, 2021.

Misrepresentation and unsuitability alleged with regard to a private investment fund…dates 2015 to 2017

Broker Dennis Reeve in Cetera Investment Services LLC Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Reeve (Reeve), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reeve 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 $99,999.00 on October 04, 2021.

Claimant alleges their registered representative made unsuitable recommendations, misrepresented and omitted material information.

Broker John Hwee in Royal Alliance Associates, INC. Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hwee (Hwee), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hwee 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 $6,000.00 on September 30, 2021.

It is alleged that FP solicited a personal loan of $6,000 from Claimant and did not pay back that loan.

There are Recent Customer Complaints with Broker William Mclaughlin in Firm Coastal Equities, INC.

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Mclaughlin (Mclaughlin), previously associated with Coastal Equities, INC., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Mclaughlin 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 $45,000.00 on October 01, 2021.

Representative is the subject of a claim filed against Coastal Equities, Inc., alleging damages for the value of a security recommended to the client by the representative. Claimant alleges breach of fiduciary duty, that the representative made unsuitable recommendations in the portfolio, negligent misrepresentation and omission, and principle/agent theories of liability against the firm for the acts of the representative.

Broker William Robertson in First Allied Securities, INC. Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Robertson (Robertson), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Robertson 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 05, 2021.

Claimant alleges his financial adviser recommended unsuitable investments. Claimant generally alleges misrepresentation, breach of duty and contract, and negligence.

Broker Ryan Young in Raymond James Financial Services, INC. Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2021.

CLIENT ALLEGES HE WAS NOT INFORMED OF THE TAX RAMIFICATIONS DUE TO THE CONVERSION OF EFT’S TO MUTUAL FUNDS AND INCURRED OVER $300,000 IN LONG TERM GAINS. THIS ACTIVITY OCCURRED ON OCTOBER 5, 2021.