Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jason Hicklen in Firm Edward Jones

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Hicklen (Hicklen), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hicklen 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 $42,078.96 on February 03, 2021.

A participant in the plan alleges his contributions to his 401K (Transamerica Variable Annuity) were not properly allocated which resulted in loss of market appreciation.

There are Recent Customer Complaints with Broker Scott Trueman in Firm Wells Fargo Advisors Financial Network, LLC

March 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 02, 2021.

Executor/Successor Trustee verbally complained that the financial advisor recommended an inappropriate financial strategy including the purchase of an inappropriate financial product. (4/6/2020)

There are Recent Customer Complaints with Broker Gregory Long in Firm International Assets Advisory, LLC

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Long (Long), currently associated with International Assets Advisory, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Long 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 02, 2021.

Breach of fiduciary responsibility, breach of contract, failure to supervise

There are Recent Customer Complaints with Broker Steven Arch in Firm Wells Fargo Advisors Financial Network, LLC

March 9, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Steven Arch (Arch) 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 Arch was employed by Wells Fargo Advisors Financial Network, LLC at the time of the activity. If you have been a victim of Arch’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Claimant alleges that the beginning around December 2014, FA did not act upon red flags of elder exploitation, including accusations of misappropriation of funds, changes in handling of the trust, withdrawals and improper use of funds which were misappropriated by the account holder’s family member.

Broker William Holly in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

The beneficiary alleges unauthorized trading in early 2021.

There are Recent Customer Complaints with Broker Steven Baaden in Firm Oppenheimer & CO. INC.

March 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Customer asserts claims for unsuitability, fraud, breach of contract and breach of fiduciary duty in connection with his investments.From 4/1/2014 to Present

There are Recent Customer Complaints with Broker Anthony Tricarico in Firm Aegis Capital Corp.

March 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Time frame: unspecified. Claimants allege unsuitable investments.

Broker Sheldon Harber in Geneos Wealth Management, INC. Firm Has Customer Complaint

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sheldon Harber (Harber), previously associated with Geneos Wealth Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Harber 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 $18,000.00 on February 08, 2021.

Client alleges unsuitable recommendation of investment product purchased in 2015.

There are Recent Customer Complaints with Broker Daniel Mittag in Firm Oppenheimer & CO. INC.

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Mittag (Mittag), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Mittag 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 $450,000.00 on February 08, 2021.

Claimant asserts claims of breach of fiduciary duty, unsuitability, violations of finra rules, violation of section 10b of the exchange act, negligent misrepresentations, violations of 93a m.g.l. S.9, failure to supervise and negligent supervision arising from allegedly unsuitable investments and excessive trading in her account. From 2013 to 2020.

Broker John Egan in Revere Securities LLC Firm Has Customer Complaint

March 9, 2026 | by Staff Attorney

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

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

Claimant alleges: breach of fiduciary duty, breach of contract and negligence