Securities Lawyers Blog

There are Recent Customer Complaints with Broker Angel Nunez in Firm Edward Jones

October 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 16, 2022.

Client alleges FA suggested and had her invest in securities that were not appropriate for her based on her stated risk tolerance and circumstances.

Broker Logan Smith in Edward Jones Firm Has Customer Complaint

October 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2022.

Client alleges he was authorized to give trade instructions on his late wife’s account, and, thus the financial advisor should have liquidated assets per his request. He additionally alleges market loss.

There are Recent Customer Complaints with Broker Yasmin Virani in Firm Canaccord Genuity Wealth Management (usa) INC.

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yasmin Virani (Virani), previously associated with Canaccord Genuity Wealth Management (usa) INC., has at least one disclosable event. These events include one customer complaint, alleging that Virani 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 $4,760,770.00 on November 21, 2022.

The civil claim alleges that Canaccord Genuity Corp. (“CGC”) is vicariously liable for the conduct of its investment advisor between January 2020 and May 2022, including alleged negligent misrepresentation, and also alleges that CGC was negligent in its supervision of that advisor.

There are Recent Customer Complaints with Broker Sapphira Chow in Firm Cetera Investment Services LLC

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sapphira Chow (Chow), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chow 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 November 17, 2022.

Claimants allege they were recommended to investment in unsuitable and misrepresented structure notes..

Broker Ricardo Roche Maldonado in Banorte Securities International, Ltd. Firm Has Customer Complaint

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricardo Roche Maldonado (Roche Maldonado), currently associated with Banorte Securities International, Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Roche Maldonado 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 $20,328.00 on November 15, 2022.

The client wrote a letter in which he expressed frustration about a certain fixed income investment that experienced an early redemption. His complaint indicated that his lack of knowledge about the called instrument resulted in a loss to him of just over $ 20,000. Given the unique features of the bond, the specific written details of the client’s frustration and an inability to confirm how the broker conveyed the features of the investment the broker-dealer agreed to pay the client for the oversight in communication.

There are Recent Customer Complaints with Broker Adam Wright in Firm Center Street Securities, INC.

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Wright (Wright), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wright 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 $25,000.00 on November 21, 2022.

Client alleges registered representative recommended an unsuitable investment.

Broker Gavin Mccleary in Fbl Marketing Services, LLC Firm Has Customer Complaint

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gavin Mccleary (Mccleary), previously associated with Fbl Marketing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccleary 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 $17,854.72 on November 18, 2022.

The client alleges the RR failed to disclose the surrender charges on a fixed annuity contract, provided poor service and forged their signature to transfer funds into the annuity to get things rolling quicker. They request the affiliate life insurance company waive the surrender charges.

There are Recent Customer Complaints with Broker David Harrison in Firm Key Investment Services LLC

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Harrison (Harrison), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harrison 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 $5,000.00 on November 18, 2022.

Administrator of the client’s estate alleges the September 2020 recommendation to 1035 exchange a Pacific Life VA to an Integrity Life SPIA in the amount of $101,473.96 was poor advice

Broker Emily Rush in the Huntington Investment Company Firm Has Customer Complaint

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Emily Rush (Rush), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Rush 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 $18,309.52 on November 23, 2022.

Client alleged that she was never told her account could lose value, that she was entering into a contract, or that her funds would not be accessible to her for the next seven years. Activity date 08/25/2022-08/25/2022.

There are Recent Customer Complaints with Broker John Hose in Firm Madison Avenue Securities, LLC

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hose (Hose), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hose 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 $20,000.00 on November 16, 2022.

Customer alleges that in early March 2022, he was pressured by Representative to make a partial withdrawal/transfer from a fixed annuity into a managed account portfolio. On March 23, 2022, when the customer changed his mind about the managed account portfolio, Representative offered to reimburse customer for any declines in value experienced by the customer in the managed portfolio within the first six months of the investment. (March 23, 2022 – September 23, 2022)