Securities Lawyers Blog

Broker Tara Clark in Osaic Wealth, INC. Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tara Clark (Clark), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $5,000.00 on April 15, 2026.

Customer alleges financial professional failed to follow instructions to purchase an ETF in 2023.

Broker Milka Micic in J.P. Morgan Securities LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Milka Micic (Micic), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Micic 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 $10,000,000.00 on April 15, 2026.

Customer alleges failure to follow instructions regarding a managed account. Activity dates 03/2025 – 04/2025.

Broker Neil Butler in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Butler (Butler), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $31,250.00 on April 13, 2026.

The client complains that the financial advisor made unsuitable recommendations regarding the fee structure of the share classes sold. (1/25/2018-1/14/2026)

There are Recent Customer Complaints with Broker Tracy Helmer in Firm LPL Financial LLC

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tracy Helmer (Helmer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Helmer 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 $13,000.00 on April 16, 2026.

Customer alleges Reg BI violations

There are Recent Customer Complaints with Broker Wayne Golightly in Firm Pinnacle Investments, LLC

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Golightly (Golightly), previously associated with Pinnacle Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Golightly 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 $80,000.00 on April 17, 2026.

Customer alleges he was solicited to transfer assets to the firm, then was recommended speculative biotech securities. As the positions declined, he alleges firm representatives repeatedly told him to continue holding rather than sell. Claims include unsuitable recommendations, overconcentration, misrepresentations/omissions, negligence, breach of fiduciary duty, breach of contract, and failure to supervise.

Broker Peter Watson in LPL Enterprise, LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 16, 2026.

Customer alleges that from November 2023 through January 2024, they were the victims of a complex scam and the representative failed to uncover and stop the scam.

Broker William Candler in Cabin Securities, INC. / Jcc Capital Markets, LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

Currently financial advisor William Candler (Candler), currently employed by brokerage firm Cabin Securities, INC. / Jcc Capital Markets, LLC 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 $500,000.00 on April 17, 2026.

Candler was the named respondent of customer complaint regarding a reg D private placement. The complaint against the member firm asserted the following causes of action, fraud, misrepresentation, omissions of material facts, unsuitable recommendations, breach of contract, and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Mark Macarthur in Firm Ausdal Financial Partners, INC.

June 1, 2026 | by Staff Attorney

Previously financial advisor Mark Macarthur (Macarthur), previously employed by brokerage firm Ausdal Financial Partners, 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 $500,000.00 on April 15, 2026.

Unsuitable investments and lack of supervision related to private placements purchased in 2013 by the client’s late spouse, and investments within an advisory account with the Rep’s approved outside RIA.

There are Recent Customer Complaints with Broker Kevin Kelly in Firm Cetera Wealth Services, LLC

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kelly (Kelly), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kelly 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 $150,000.00 on April 17, 2026.

Customer alleges the investments they purchased were not suitable.

Broker Mark Herding in Harbour Investments, INC. Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Mark Herding (Herding), currently associated with Harbour Investments, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Herding concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on April 13, 2026.

Statement of claims alleges an investment recommendation was made for the purpose of generating high commissions and fees and that claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio