Securities Lawyers Blog

Broker Brock Brady in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brock Brady (Brady), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brady 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 $270,000.00 on October 20, 2022.

Claimant alleges that in 2016 the Representative misrepresented that certain investments, such as a Real Estate Investment Trust, were conservative, secure, and did not carry any significant risks, and the Claimant suffered estimated losses in excess of $270,000.

Broker Howard Woo in UBS Financial Services INC. Firm Has Customer Complaint

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Woo (Woo), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Woo 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 $250,000.00 on October 21, 2022.

Clients allege representative made misrepresentations beginning in May 2021.

There are Recent Customer Complaints with Broker Rebecca Henson in Firm Ausdal Financial Partners, INC.

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rebecca Henson (Henson), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Henson 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 $30,000.00 on October 24, 2022.

Claimant(s) allege unsuitable and misleading investment recommendations, misrepresented and omitted material facts and risks and failure to conduct reasonable due diligence.

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

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Analovitch (Analovitch), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Analovitch 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 $42,692.94 on October 24, 2022.

The client alleges in June 2020 the representative provided poor advice regarding the purchase of IBOXX Investment Grade Bond ETF (LQD) and the subsequent recommendation to continue to hold the shares.

There are Recent Customer Complaints with Broker Paul Alwine in Firm Edward Jones

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Alwine (Alwine), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Alwine 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 $10,910.51 on October 19, 2022.

The client alleges an unauthorized purchase of a premium priced CD.

Broker Gary Ziegler in Transamerica Financial Advisors, LLC Firm Has Customer Complaint

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Ziegler (Ziegler), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ziegler 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 October 18, 2022.

Claimant alleges his funds were placed in investments in a multitude of high risk investment that caused a losses.

There are Recent Customer Complaints with Broker Dennis Thurman in Firm Arete Wealth Management, LLC

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Thurman (Thurman), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thurman 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 $100,000.00 on October 21, 2022.

Customers allege unsuitable investment recommendations in 2019.

Broker David Wood in Moloney Securities Co., INC. Firm Has Customer Complaint

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wood (Wood), currently associated with Moloney Securities Co., 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 $218,750.00 on October 24, 2022.

Suitability/negligence. 2013-2015

There are Recent Customer Complaints with Broker Terry Wheeler in Firm Arque Capital, Ltd.

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terry Wheeler (Wheeler), previously associated with Arque Capital, Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Wheeler 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 October 21, 2022.

Wheeler was named in a customer complaint that asserted the following causes of action: breach of contract and warranties; promissory estoppel; vioaltion of state securities statutes; misrepresentation; omission of facts; breach of fiduciary duty; negligence; and, unjust enrichment.

There are Recent Customer Complaints with Broker Stephen Hollingsworth in Firm Raymond James Financial Services, INC.

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Hollingsworth (Hollingsworth), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hollingsworth 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 $762,908.00 on October 18, 2022.

Former clients allege that FA purchased and sold securities without authorization, executed an inappropriately high volume of transactions, improperly recommended margin, purchased unsuitable investments in their accounts, and improperly communicated through Facebook messenger. Allegation Activity Dates: 11/7/10 – 9/2/21.