Securities Lawyers Blog

There are Recent Customer Complaints with Broker Felix Chu in Firm Nylife Securities LLC

January 19, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Felix Chu (Chu) 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 Chu was employed by Nylife Securities LLC at the time of the activity. If you have been a victim of Chu’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 $113,620.00 on October 28, 2021.

Customer alleges that beginning in or around October 2017 until May 2018 they were misled into purchasing promissory notes resulting in a damages of $113,620. No securities products were involved.

There are Recent Customer Complaints with Broker Russell Cramer in Firm Kalos Capital, INC.

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Cramer (Cramer), previously associated with Kalos Capital, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Cramer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 01, 2021.

UNSUITABLE INVESTMENTS IN HIGH COMMISSION, COMPLEX ALTERNATIVE INVESTMENTS AND MULTIPLE ILLIQUID INVESTMENT PRODUCTS.

There are Recent Customer Complaints with Broker William Chancellor in Firm First Allied Securities, INC.

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Chancellor (Chancellor), previously associated with First Allied Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chancellor 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 $132,000.00 on November 02, 2021.

Claimant alleges former registered representative recommended alternative investments which were unsuitable.

Broker Becky Mathre in D.h. Hill Securities, Lllp Firm Has Customer Complaint

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Becky Mathre (Mathre), previously associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Mathre 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 02, 2021.

Claimant alleges violation of FINRA rules 2110 and 2111, negligence, misrepresentation, breach of fiduciary duty, and failure to supervise.

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

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joyce Kuehl (Kuehl), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kuehl recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 27, 2021.

The Personal Representative alleges that the Financial Advisor failed to obtain the proper Transfer on Death form in order to have the accounts successfully transferred upon decedent’s death

Broker Kermit Griner in Nylife Securities LLC Firm Has Customer Complaint

January 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 04, 2021.

Attorney for the Estate of Fay Cannamela and its representatives/beneficiaries questions the suitability of variable and fixed annuity transactions between 1997 and 2005 and alleges that the signatures on several forms do not match his clients’ authentic signatures.

There are Recent Customer Complaints with Broker David Meacham in Firm LPL Financial LLC

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Meacham (Meacham), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meacham 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 $137,000.00 on November 04, 2021.

According to a Form U5 Amendment filed by Centaurus, during the period January 2015 through September 2015, the customers allege that the Registered Representative recommended high-risk, high commission and illiquid investments.

Broker Neal Nakagiri in Npb Financial Group, LLC Firm Has Customer Complaint

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neal Nakagiri (Nakagiri), previously associated with Npb Financial Group, LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Nakagiri 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 02, 2021.

Due Diligence failures, Breach of fiduciary duty, breach of expressed/implied contract and breach of duty of good faith and fair dealing, negligence, and failure to supervise.

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

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fred Kahn (Kahn), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kahn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 27, 2021.

The Personal Representative alleges that the Financial Advisor failed to obtain the proper Transfer on Death form in order to have the accounts successfully transferred upon decedent’s death.

There are Recent Customer Complaints with Broker William Harvey in Firm Edward Jones

January 18, 2026 | by Staff Attorney

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

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

The client alleges the financial advisor failed to follow instructions and place trades.