Securities Lawyers Blog

Broker Julie Cohen in Mutual Securities, INC. Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julie Cohen (Cohen), previously associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cohen 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 $500,000.00 on December 15, 2020.

Allegations include breach of contract, breach of duty, negligence, misrepresentation and omission, and violations of various FINRA rules and Federal and State laws. The plaintiffs had maintained independently managed accounts with Mutual Securities, Inc.

There are Recent Customer Complaints with Broker Bernard Wolfe in Firm Kestra Investment Services, LLC

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bernard Wolfe (Wolfe), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wolfe 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 $213,000.00 on December 18, 2020.

Claimant claims negligence, over-concentration, breach of fiduciary duty, breach of contract, material misrepresentations and omissions and failure to supervise in relation to the sale of FSKR in 2013.

Broker Gerald Fasanella in Cetera Advisors LLC Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Fasanella (Fasanella), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fasanella 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 $400,000.00 on December 22, 2020.

Claimants allege that their registered representative recommended unsuitable investments.

Broker Jeffrey Taylor in Fidelity Brokerage Services LLC Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Taylor (Taylor), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 February 01, 2021.

Customer alleged that the representative provided inaccurate information regarding the deadline for the exercise of certain options contracts.

Broker Ryan Wanta in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Wanta (Wanta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Wanta 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 $36,213.73 on January 31, 2021.

The customer alleges failure to follow instructions on December 9, 2020.

There are Recent Customer Complaints with Broker Elliott Hill in Firm Mcdermott Investment Services, LLC

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elliott Hill (Hill), previously associated with Mcdermott Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 $500,000.00 on January 26, 2021.

Customers allege that the firm and financial advisor failed to perform adequate due diligence in connection with a 1031 exchange recommendation in 2015 that customers invest in a Delaware Statutory Trust.

There are Recent Customer Complaints with Broker William Prestage in Firm Osaic Wealth, INC.

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Prestage (Prestage), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Prestage 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 $70,000.00 on January 26, 2021.

Claimant alleges recommendations of alternative investments were not suitable.

Broker Evan Nadelman in Aegis Capital Corp. Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Nadelman (Nadelman), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Nadelman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 28, 2021.

Verbal complaint that representative recommended unsuitable investments as well as borrowed money from client that was not disclosed to or approved by the firm.

Broker Todd Wachsman in Morgan Stanley Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $1,600,000.00 on January 26, 2021.

Todd Wachsman was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duties; fraud; negligence and/or gross negligence; breach of contract and breach of the implied covenant of good faith and fair dealing; unjust enrichment; violation of industry rules; violation of the Securities Exchange Act of 1934 and Rule 10B-5; suitability; and failure to supervise

Broker Wesley Wood in Wfg Investments, INC. Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wesley Wood (Wood), previously associated with Wfg Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wood 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 $70,000.00 on January 26, 2021.

Claimant alleges recommendations of alternative investments were not suitable.