Securities Lawyers Blog

There are Recent Customer Complaints with Broker Eugene Thompson in Firm Capital Investment Group, INC.

June 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Thompson (Thompson), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 $500,000.00 on May 07, 2026.

Client invested in GWG Holdings L-Bonds. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022., The Statement of Claim alleges breach of contract and warranties, estoppel, violation of state securities statutes, violation of consumer investment statutes, and claims under common law,

Broker Joseph D’amore in MML Investors Services, LLC Firm Has Customer Complaint

June 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 04, 2026.

It is alleged that in or around June/July of 2024, the rep recommended that the complainant liquidate her existing variable annuity based on information that May have been misrepresented, causing her to forfeit its guaranteed income benefit with a 6% income stream in favor of establishing a non-guaranteed investment portfolio with ongoing fees, expenses and annual taxation.

Broker Eric Kleiner in Morgan Stanley Firm Has Customer Complaint

June 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 30, 2026.

Claimants allege, inter alia, that FA recommended investment in an outside investment security that was not authorized by MS -2016 to 2025

Broker Daniel Haynes in J.P. Morgan Securities LLC Firm Has Customer Complaint

June 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Haynes (Haynes), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haynes 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 $44,734.15 on April 29, 2026.

Customer alleges unsuitable investment recommendation. Activity dates 6/26/23 – 6/27/23.

There are Recent Customer Complaints with Broker Jawed Aslam in Firm MML Investors Services, LLC

June 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jawed Aslam (Aslam), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aslam 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 $234,171.07 on April 30, 2026.

The complainant alleges that the VUL that was sold to her in 2010 was misrepresented by the rep, that the illustrations were physically altered and that there was an unauthorized collection of signed blank checks to make premium payments. It is alleged that 15 years of market opportunity was lost.

Broker Benjamin Sweeney in Morgan Stanley Firm Has Customer Complaint

June 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Sweeney (Sweeney), currently associated with Morgan Stanley, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Sweeney 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 $1,300,000.00 on April 30, 2026.

Claimant alleges, inter alia, municipal bond investment strategy was not in their best interest – Feb 2014 to Feb 2026.

There are Recent Customer Complaints with Broker Jonas Everett in Firm LPL Financial LLC

June 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 28, 2026.

Statement of Claims alleges unsuitable investment recommendations given the client’s stated investment objectives.

There are Recent Customer Complaints with Broker Robert Notarfrancesco in Firm LPL Financial LLC

June 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Notarfrancesco (Notarfrancesco), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Notarfrancesco 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 $27,767.78 on April 29, 2026.

Customer alleges that interest rate on variable annuity was guaranteed.

There are Recent Customer Complaints with Broker Leta Davis in Firm Morgan Stanley

June 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leta Davis (Davis), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $25,000.00 on May 11, 2026.

Client alleged that he was given incorrect investment advice when he was advised that he did not qualify for preferred certificates of deposits offered by morgan stanley which led to him investing in a fee based managed account and missing out on the preferred interest he could have earned. 2025-2026

There are Recent Customer Complaints with Broker Gary Imel in Firm Ameriprise Financial Services, INC.

June 13, 2026 | by Staff Attorney

Previously financial advisor Gary Imel (Imel), previously employed by brokerage firm Ameriprise Financial Services, INC. 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 pending customer complaint with a damage request of $300,000.00 on April 30, 2026.

Claimant alleges that between 2010 and 2017, Respondent Imel recommended unsuitable and illiquid alternative investments, including REITs and private placement investments, while associated with Respondent Kalos Capital, Inc.