Securities Lawyers Blog

There are Recent Customer Complaints with Broker Richard Davis in Firm Osaic Wealth, INC.

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Davis (Davis), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 February 17, 2021.

Customer alleges that representative provided poor advice on exchange of life insurance resulting in negative tax consequences for customer.

There are Recent Customer Complaints with Broker James Senderling in Firm RBC Capital Markets, LLC

March 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 17, 2021.

Client alleges he instructed his financial advisor to purchase 100 shares of Tesla stock on January 22, 2020, wants to be made whole for price and number of shares as there was a stock split in August 2020.

There are Recent Customer Complaints with Broker Jeffrey Gundrum in Firm Equitable Advisors, LLC

March 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 17, 2021.

Client alleges the terms and benefits of his variable annuity (purchased in 2020) were not properly disclosed to him.

There are Recent Customer Complaints with Broker Sam Aziz in Firm David A. Noyes & Company

March 2, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Sam Aziz (Aziz), previously associated with David A. Noyes & Company, has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Aziz concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on February 16, 2021.

Attorney for clients complained of unsuitable and excessive trading. (10/14/2013-3/31/2015)

Broker Andrew Burish in UBS Financial Services INC. Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Burish (Burish), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Burish 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 $23,085,874.00 on February 23, 2021.

Time frame: September 2019- July 2020\, The Claimants allege that the FA recommended an unsuitable and risky strategy of selling the stock of Tesla short and recommended that they continue to hold the positions in the face of mounting losses. The First Amended Statement of Claim has added a claim for fraud alleging that the FA failed to advise them that he was no longer shorting Tesla in his own account from July 2019-June 2020.

There are Recent Customer Complaints with Broker Daniel Fair in Firm Davenport & Company LLC

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Fair (Fair), previously associated with Davenport & Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fair 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 $670,000.00 on February 22, 2021.

Client alleges unsuitable and non-diversified investments during the period 2014 to 2016.

Broker Walter Stallones in Momentum Independent Network INC. Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Stallones (Stallones), previously associated with Momentum Independent Network INC., has at least one disclosable event. These events include one customer complaint, alleging that Stallones 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 $730,000.00 on February 18, 2021.

Misrepresentation, unsuitable recommendations.

There are Recent Customer Complaints with Broker Cole Conrad in Firm LPL Financial LLC

March 1, 2026 | by Staff Attorney

Currently financial advisor Cole Conrad (Conrad), currently employed by brokerage firm LPL Financial 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 settled customer complaint on March 01, 2021.

The complainant alleges that the REITs that were sold to him beginning in or around 2014 were unsuitable for his conservative portfolio.

There are Recent Customer Complaints with Broker Samuel Yawson in Firm Citizens Securities, INC.

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 26, 2021.

This complaint did not meet our criteria for reporting and is only being reported now because of a Settlement of $17,758.53.

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

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 28, 2021.

The customer alleges failure to follow instructions in December 2020.