Securities Lawyers Blog

Broker Vincent La Cava in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 13, 2020.

Claimant alleges that Respondents recommended him unsuitable securities, including Amira Nature Foods, that were overly concentrated in certain product types and/or industries.

Broker William Gendron in Metlife Securities INC. Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Gendron (Gendron), previously associated with Metlife Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Gendron 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 $67,000.00 on November 16, 2020.

The complainant alleges, that the broker solicited him, to purchase several alternative investments on or about July & August 2013. The complainant states the products were presented as safe investments for retirement, which would provide a steady income stream, and a safety of principal. The complainant is alleging damages of approximately $67K.

There are Recent Customer Complaints with Broker Edward Miller in Firm LPL Financial LLC

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Miller (Miller), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $4,000,000.00 on November 13, 2020.

Customer alleges that representative failed to supervise the activities of another representative alleged to have engaged in ‘fraudulent’ conduct. Activity period – 9/2011 to 12/2012.

There are Recent Customer Complaints with Broker Gary Conley in Firm American Investors Company

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Conley (Conley), currently associated with American Investors Company, has at least one disclosable event. These events include one customer complaint, alleging that Conley 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 $375,000.00 on November 16, 2020.

Clients alleging unsuitability pertaining to various alternative investments. Investments were purchased between September 2014 and January 2019.

There are Recent Customer Complaints with Broker Armani Miller in Firm UBS Financial Services INC.

March 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 18, 2020.

Time Frame: August 3, 2020 to August 25, 2020 \<char_lb_r>\, What were the allegations against the individual? The client alleges his annuity contract was surrendered without his authorization. The alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker William Stephenson in Firm the Leaders Group, INC.

March 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 23, 2020.

The complainant alleges that the variable annuity that was sold to her in 2020 wasn’t suitable for her needs, and, that she wasn’t advised about the penalties associated with the product.

There are Recent Customer Complaints with Broker Daniel Beck in Firm Equitable Advisors, LLC

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Beck (Beck), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beck 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 $38,251.72 on November 24, 2020.

Clients allege the RR sold them unsuitable variable life insurance products in 2018.

There are Recent Customer Complaints with Broker Gregory De Castro in Firm J.P. Morgan Securities LLC

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory De Castro (De Castro), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that De Castro 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 $30,000.00 on November 24, 2020.

Client alleges misrepresentation and suitability relating to withdrawal from mutual fund investment. Activity date 12/19/19. This matter has moved to Arbitration.

Broker Alisha Bush in MML Investors Services, LLC Firm Has Customer Complaint

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alisha Bush (Bush), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bush 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 $7,711.83 on November 24, 2020.

Customers alleged that the representative misled them as to the length of the annuity contract’s surrender period, made changes to the application without consent, and omitted their rights under the free look period when soliciting the sale in and around April of 2020.

There are Recent Customer Complaints with Broker Francis Dougherty in Firm LPL Enterprise, LLC

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Dougherty (Dougherty), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dougherty 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 $1,000,000.00 on November 20, 2020.

Customer alleges unsuitable alternative investment recommendations. Activity period: 7/15/15 to 11/20/20.