Securities Lawyers Blog

There are Recent Customer Complaints with Broker Richard Finnell in Firm Mwa Financial Services INC.

March 16, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Richard Finnell (Finnell) 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 Finnell was employed by Mwa Financial Services INC. at the time of the activity. If you have been a victim of Finnell’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 $15,500.00 on December 22, 2020.

Customer alleges that Registered Representative Richard K. Finnell was involved in two unauthorized withdrawals totaling $39,250. The misappropriation of funds claim is on a fixed annuity certificate that is currently owned by the client’s Irrevocable Trust. The claim also alleges fraud in that Mr. Finnell forged a signature and witnessed a forged signature. This arbitration is a continuation of a dispute that was submitted as a written request for information on November 16, 2018 to Woodmen Financial Services, Inc. and a complaint to FINRA in March of 2019, Case No. 20190617285. This also relates to FINRA arbitration case 20-03730.

Broker William Hales in UBS Financial Services INC. Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 15, 2020.

February 03, 2020 to March 11, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The Client alleges the financial advisor failed to liquidate his investments as instructed. The allege damages are estimated to be in excess of $5,000.00

Broker Craig Riggs in Emerson Equity LLC Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Riggs (Riggs), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Riggs 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 December 15, 2020.

Claimants allege that Mr. Riggs recommended alternative investments that were unsuitable.

Broker Jake Drennon in State Farm Vp Management Corp. Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 16, 2020.

Customer alleges RR office sharing of customer credit card information that lead to a several hundred dollar charge on the credit card.

There are Recent Customer Complaints with Broker Alma Faerber in Firm Orchard Securities, LLC

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alma Faerber (Faerber), currently associated with Orchard Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Faerber 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 December 15, 2020.

Claimant alleges that Mr. Faerber recommended alternative investments that were unsuitable. Securities were purchased prior to 2017.

Broker Matthew Macek in LPL Financial LLC Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 16, 2020.

Clients’ representative complained that the financial advisor improperly recommended the sale of securities and repositioning of proceeds into a single mutual fund, resulting in a commission on the sale, long term capital gains taxes and a sales charge on the mutual fund. (4/16/2019).

Broker Dominic Debruin in LPL Financial LLC Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominic Debruin (Debruin), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Debruin 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 $140,000.00 on December 22, 2020.

Claimants allege advisor recommended unsuitable stock and misapprpopriated funds. Activity period: 2013 to 2018 approximate.

There are Recent Customer Complaints with Broker Charles Kulch in Firm Next Financial Group, INC.

March 16, 2026 | by Staff Attorney

Previously financial advisor Charles Kulch (Kulch), previously employed by brokerage firm Next Financial Group, INC. has been subject to at least 6 disclosable events. These events include 5 customer complaints, one regulatory event. 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 $5,000.00 on December 16, 2020.

Alleged unsuitable recommendation of investments in registered, non-traded real estate investment trusts (REITs) between September 2015 to June 2020.

There are Recent Customer Complaints with Broker Gayle Lob in Firm LPL Financial LLC

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gayle Lob (Lob), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lob 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 $65,000.00 on December 15, 2020.

Customer alleges unsuitable alternative investment recommendation. Activity Period: 5/2013 – 12/2020.

Broker Cheryl Brown in LPL Financial LLC Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

Currently financial advisor Cheryl Brown (Brown), currently employed by brokerage firm LPL Financial 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 $450,000.00 on December 15, 2020.

Clients allege that Financial Professional misrepresented the risks associated with BDCs and that the investments were unsuitable. Date of Activity:12/21/10 to 11/16/20