Securities Lawyers Blog

There are Recent Customer Complaints with Broker Kevin Mcwilliams in Firm Sei Investments Distribution CO.

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Mcwilliams (Mcwilliams), currently associated with Sei Investments Distribution CO., has at least one disclosable event. These events include one customer complaint, alleging that Mcwilliams 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 $50,000.00 on November 03, 2020.

Claimant alleges that the purchase of FS Investment Corporation III was unsuitable because of the value of this now publicly-traded company allegedly decreased. Activity period 2/2015-11/2020

Broker Kenneth Collins in Union Capital Company Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2020.

Violation of Common Law Fraud, Breach of Fiduciary Duty, Negligence.

There are Recent Customer Complaints with Broker Luis Vivas Sardi in Firm Miura Capital, LLC

March 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2020.

Client verbally complained that Financial Advisor neglected to enter an order to exchange a foreign debt issue as instructed. The client then sold the bonds at a price lower than the exchange price and was compensated for the price differential. (7/27/2020)

Broker Catherine Kennedy in Park Avenue Securities LLC Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Kennedy (Kennedy), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kennedy 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 $166,859.00 on November 06, 2020.

The Customer alleges that for a period of a year, the RR failed to follow her instructions to invest her retirement funds, resulting in significant market loss. The Customer is seeking reimbursement for damages.

Broker John Westbrook in Cape Securities INC. Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker John Westbrook (Westbrook) 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 Westbrook was employed by Cape Securities INC. at the time of the activity. If you have been a victim of Westbrook’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on November 10, 2020.

Without admitting or denying the findings, Westbrook consented to the sanctions and to the entry of findings that he participated in private securities transactions totaling $350,335 without prior disclosure to or approval from his member firm. The findings stated that Westbrook solicited investors to purchase securities of a company that represented itself as a structured cash flow investment. Westbrook received a total of $14,013 in commissions in connection with his sales of the company’s securities. Later, the company ceased business, owing nearly $300 million in unpaid investor payments. In a subsequent indictment, the United States charged the company and its owner with conspiracy to engage in mail and wire fraud related to the company’s operations.

Broker Lisa Turbeville in Sagepoint Financial, INC. Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Turbeville (Turbeville), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Turbeville 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 $44,000.00 on November 06, 2020.

Customer alleges the representative made a recommendation that did not meet the clients’ needs and allegedly caused losses.

There are Recent Customer Complaints with Broker Robyn Simons in Firm Berthel, Fisher & Company Financial Services, INC.

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robyn Simons (Simons), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Simons 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 $200,000.00 on November 10, 2020.

The client alleges the investments she purchased between 2014-2016 were unsuitable and misrepresented to her by the representative. The client also alleges the firm failed to supervise the actions of the representative.

There are Recent Customer Complaints with Broker Douglas Ruth in Firm Lenox Financial Services, INC.

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Ruth (Ruth), currently associated with Lenox Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ruth 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 $526,400.00 on November 04, 2020.

Customer alleges breach of fiduciary duty, unsuitable investments, negligence, breach of contract, and failure to disclose risk of securities during the period April, 2015 through July, 2020.

There are Recent Customer Complaints with Broker Carlos Alvarado in Firm Herbert J. Sims & Co, INC.

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Alvarado (Alvarado), currently associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Alvarado 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 November 04, 2020.

Client’s allege unsuitability, overconcentration, failure to supervise, scienter, aiding and abetting, fraudulent concealment, violations of securities laws and rules, fraud, recklessness, negligence, breach of fiduciary duties, and violations of PR contract law (Puerto Rico bonds and closed-end funds). Includes request for rescission, interest, fees, costs, and disgorgement of commission and fees.

Broker Thomas Sullivan Jr. in UBS Financial Services INC. Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Sullivan Jr. (Sullivan Jr.), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Sullivan Jr. 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 $200,000.00 on November 12, 2020.

Time Frame: November 2, 2020 to November 12, 2020 What were the allegations against the individual? The client’s husband who had authority to complain alleges the Financial Advisor failed to follow instructions and sold the incorrect equity. The client’s husband further alleges the Financial Advisor failed to purchase Mutual Funds as instructed.