Securities Lawyers Blog

Broker James Garrity in Morgan Stanley Firm Has Customer Complaint

October 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 28, 2025.

Claimant alleges, inter alia, misrepresentation with respect to covered call option strategy – 2023-to 2025

There are Recent Customer Complaints with Broker John Nole in Firm Paulson Investment Company LLC

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Nole (Nole), currently associated with Paulson Investment Company LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nole 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 $15,000.00 on September 04, 2025.

Client invested 15k in GWG L Bonds in December 2020. Alleges recommendations were not consistent with standards of care mandated by FINRA’s suitability rule or the SEC’s Reg BI.

There are Recent Customer Complaints with Broker Kenneth Davis in Firm Capital Investment Group, INC.

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Davis (Davis), currently associated with Capital Investment Group, INC., 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 settled customer complaint with a damage request of $13,000.00 on September 02, 2025.

The client believed that the registered representative failed to inform him that the cash value of a Variable Universal Life contract was being reduced to cover premiums. As a result, the prior cash values were exhausted, and a policy lapse was imminent. The client claimed that, had he been aware, he would have surrendered the policy and received the cash value. Effective date of policy was 12/22/1998. The representative’s current firm, Capital Investment Group, Inc., was not a party to the complaint, as the contract was sold at the representative’s prior firm.

There are Recent Customer Complaints with Broker Peter Black in Firm UBS Financial Services INC.

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Black (Black), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Black 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 $9,900,000.00 on August 29, 2025.

Time frame: 2023-present\, Claimant alleges she only provided authorization to sell half of her shares of Zeta Global Holdings, but that her FA Peter Black sold her entire position. She also alleges she was charged a 3% commission on these shares sold even though they agreed upon a 1% commission.

Broker Solomon Tobal in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

October 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Solomon Tobal (Tobal), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Tobal recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 08, 2025.

CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO COMMISSIONS CHARGED ON INDIVIDUAL TRADES AND OPENING OF MANAGED ACCOUNT 2024-2025

Broker Shalom Azar in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

October 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shalom Azar (Azar), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Azar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 05, 2025.

CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO COMMISSIONS CHARGED ON INDIVIDUAL TRADES ANDOPENING OF MANAGED ACCOUNT 2024-2025

There are Recent Customer Complaints with Broker Elizabeth Ortiz in Firm Charles Schwab & Co., INC.

October 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 11, 2025.

The client, a former Schwab associate, alleges the representative engaged in frontrunning the his account.

Broker Timothy Darnell in Bankers Life Securities, INC. Firm Has Customer Complaint

October 7, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Timothy Darnell (Darnell) 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 Darnell was employed by Bankers Life Securities, INC. at the time of the activity. If you have been a victim of Darnell’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on September 11, 2025.

The arbitration alleges the RR made unsuitable recommendations, alleges breach of fiduciary duty, negligence, misrepresentation, and selling away related to an alleged Ponzi scheme with First Liberty Building & Loan, LLC.

There are Recent Customer Complaints with Broker Mark Creason in Firm Metric Financial, LLC

October 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 10, 2025.

Unsuitable Investments, misrepresentation, omission of material facts, failure to disclose risks

Broker Michele Pearson Tucker in Edward Jones Firm Has Customer Complaint

October 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michele Pearson Tucker (Pearson Tucker), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Pearson Tucker 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 $10,000.00 on September 16, 2025.

The client alleges unauthorized liquidations resulting in capital gain taxes.