Securities Lawyers Blog

There are Recent Customer Complaints with Broker Marc Menton in Firm Oppenheimer & CO. INC.

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Menton (Menton), previously associated with Oppenheimer & CO. INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Menton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint with a damage request of $485,000.00 on May 26, 2020.

Claimant alleges claims for Fraudulent Misrepresentation, Fraudulent Concealment, Negligent Misrepresentation, Negligent Concealment, Negligence, Unsuitability, Breach of Fiduciary Duty, Breach of Contract, Breach of the Implied Covenant of Good Faith and Fair Dealing, Elder Abuse. From 1/1/2010 to 12/31/2019.

There are Recent Customer Complaints with Broker William Dowell in Firm Cetera Wealth Services, LLC

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Dowell (Dowell), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dowell 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 $19,114.00 on May 20, 2020.

There are Recent Customer Complaints with Broker Thomas Hunt in Firm LPL Financial LLC

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Hunt (Hunt), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hunt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 21, 2020.

Power of Attorney for client complained that the securities in the client’s account were not suitable. (9/8/2016-5/21/2020)

Broker Satya Shaw in Center Street Securities, INC. Firm Has Customer Complaint

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Satya Shaw (Shaw), previously associated with Center Street Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shaw 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 $140,000.00 on May 21, 2020.

Unsuitable

There are Recent Customer Complaints with Broker John Roberts in Firm Benchmark Investments, INC.

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Roberts (Roberts), previously associated with Benchmark Investments, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roberts 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 $8,100.00 on May 26, 2020.

Unsuitable Investments.

Broker Daniel Boyer in LPL Financial LLC Firm Has Customer Complaint

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Boyer (Boyer), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Boyer 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 $19,500.00 on May 22, 2020.

The Firm released payment through ACH without client’s consent to pay for unauthorized credit card charges made by the client’s caregiver.

There are Recent Customer Complaints with Broker Glenn Childres in Firm UBS Financial Services INC.

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Childres (Childres), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Childres 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 May 22, 2020.

Time frame: Unspecified \<char_lb_r>\, \<char_lb_r>\, Allegations: Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

Broker Samuel Choice in Vanguard Marketing Corporation Firm Has Customer Complaint

August 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Choice (Choice), previously associated with Vanguard Marketing Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Choice recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 01, 2020.

Client alleges the representative denied him access to make trades on his account. Activity occurred between March 24, 2020, through April 2, 2020.

Broker Carolina Medina in Morgan Stanley Firm Has Customer Complaint

August 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carolina Medina (Medina), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Medina recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

Client alleges, inter alia, that purchases and concentration of hertz bonds in her portfolio were unsuitable. 2019 – 2020 damages unspecified

There are Recent Customer Complaints with Broker Gary Cecchett in Firm Morgan Stanley

August 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Cecchett (Cecchett), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cecchett recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 28, 2020.

Client verbally alleged misrepresentation with respect to mutual fund investment – March 2020.