Securities Lawyers Blog

Broker Jeremy Shull in UBS Financial Services INC. Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $730,631.25 on March 23, 2020.

Shull was a subject of the customers\\u2019 complaint against his member firm that asserted the following causes of action: fraud; misrepresentation; unsuitability; unsuitable product; breach of fiduciary duty; negligence; and breach of contract.

There are Recent Customer Complaints with Broker Ilan Tsapovski in Firm LPL Financial LLC

July 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ilan Tsapovski (Tsapovski), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tsapovski 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 $36,588.87 on March 24, 2020.

CLIENT OPENED CITI ADVISOR NON-DISCRETIONARY MANAGED ACCOUNT ON 2/14/2020. CLIENT ALLEGED THAT HE GAVE REGISTERED REPRESENTATIVE EXPLICIT INSTRUCTIONS THAT HIS MONEY WAS TO BE INVESTED IN A TRIPLE TAX FREE MUNICIPAL BOND FUND, AND WAS TOLD IF HE SHOULD EVER NEED ANY OF THE FUNDS HE COULD GET THEM ON A DAY’S NOTICE. INSTEAD OF FOLLOWING HIS INSTRUCTIONS, CLIENT ALLEGED REGISTERED REPRESENTATIVE BOUGHT AND SOLD VARIOUS SECURITIES OVER A PERIOD OF A MONTH DESPITE HIS OBJECTIONS. CLIENT CLAIMED THAT HE TRIED TO LIQUIDATE HIS ACCOUNT WHEN IT WAS DOWN APPROXIMATELY $20k ON MARCH 16 BUT WAS UNABLE TO DO SO UNTIL MARCH 18. CLIENT STATED THAT HIS ACCOUNT LOST APPROXIMATELY $37K AND HE WANTS TO RECOVER THE FUNDS. OCCURRENCE DATE: 2/18/2020 – 3/18/2020. REALIZED LOSSES: $36,588.87.

Broker Chris Billingsley in UBS Financial Services INC. Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Time Frame: March 9, 2020 to March 19, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The client alleges his instructions to match all of his accounts to low risk like one of his other accounts was not completed. The client further alleges unauthorized trading. The alleged damages are estimated to be in excess of $5,000.00.

Broker Charles Lanzillotto in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 20, 2020.

Clients complained that the financial advisor did not move their assets to cash as instructed. (3/3/2020-3/13/2020)

There are Recent Customer Complaints with Broker Paul Snider in Firm Morgan Stanley

July 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Client alleged that he instructed fa to reduce equities from 40% to 30% and move the 60% in fixed income in his managed account to cash in late February 2020. Damages unspecified

Broker Darrell Schaper in Woodbury Financial Services, INC. Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darrell Schaper (Schaper), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schaper 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 March 20, 2020.

Unsuitable investments and misrepresentation alleged

Broker Baron Willis in Chelsea Financial Services Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Baron Willis (Willis) 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 Willis was employed by Chelsea Financial Services at the time of the activity. If you have been a victim of Willis’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $23,979.19 on March 20, 2020.

Rep engaged in selling away without the firm’s authorization and investment became worthless

There are Recent Customer Complaints with Broker Scott Ozer in Firm Emerson Equity LLC

July 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Ozer (Ozer), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ozer 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 $300,000.00 on March 20, 2020.

Clients allege wrongful conduct, Breach of fiduciary duty, Breach of written contract, Breach of oral contract, Violations of State and Federal Securities Laws. Financial Abuse. The claim alleges the events took place in 2014 (no specific dates were given).

There are Recent Customer Complaints with Broker Daniel Kraus in Firm Raymond James & Associates, INC.

July 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Client alleges advisor failed to follow instructions. Allegation Activity Dates: 3/3/2020 – 3/23/2020.

Broker Joseph Duffy in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2020.

The customer alleges failure to follow instructions on March 25, 2020.