Securities Lawyers Blog

There are Recent Customer Complaints with Broker Matthew Remis in Firm Morgan Stanley

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on March 03, 2021.

Given Matthew H. Remis’ three (3) disclosure incidents, the Massachusetts Securities Division is allowing his registration as an investment adviser representative in Massachusetts pursuant to a two (2) year plan of heightened supervision.

There are Recent Customer Complaints with Broker Miguel Cabarcas in Firm Worden Capital Management LLC

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Miguel Cabarcas (Cabarcas), previously associated with Worden Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cabarcas 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 $40,000.00 on March 05, 2021.

Claimant alleges that the representative recommended unsuitable investments as well as his misrepresentations relating to the unsuitable investments.

There are Recent Customer Complaints with Broker Carlos Salazar in Firm LPL Financial LLC

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Salazar (Salazar), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Salazar 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 March 08, 2021.

Customers allege that the purchase of two investments in their portfolio, made approximately eight years ago were not suitable. Activity period: 6/2013 to 3/2021.

Broker Brian Robertson in Maxim Group LLC Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Robertson (Robertson), currently associated with Maxim Group LLC, has at least one disclosable event. These events include one customer complaint, alleging that Robertson 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 $57,000.00 on March 08, 2021.

Client alleges unsuitability.

Broker Erik Melville in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Melville (Melville), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Melville 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 $15,919.00 on March 04, 2021.

Client alleges advisor failed to follow instructions with regard to trading in the account.

Broker Mark Burford in LPL Financial LLC Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Burford (Burford), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burford 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 $25,000.00 on March 05, 2021.

Customers allege that the purchases of two investments for their overall portfolios were unsuitable. Activity Period: 2/2014 – 3/2021.

Broker Ranjan Luthra in U.S. Bancorp Investments, INC. Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2021.

The complainant alleges that the rep misrepresented the variable life insurance policy that was sold to them in 2001, stating that they were told that the policy would cover the premiums after 10 years, however, premiums are still required, and they are increasing.

Broker Dustin Mikkelsen in Equity Services, INC. Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Mikkelsen (Mikkelsen), previously associated with Equity Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mikkelsen 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 $384,100.00 on March 05, 2021.

Customer alleges that the deceased Registered Representative, the customer’s former spouse, implemented an unsuitable investment strategy and made unauthorized withdrawals from the account

There are Recent Customer Complaints with Broker Christopher Noonan in Firm Wells Fargo Clearing Services, LLC

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 05, 2021.

Client complained that the financial advisor purchased mutual funds in his account that were not appropriate for the account status. (2/23/2021-3/3/2021)

Broker Calvin Franklin in PFS Investments INC. Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 04, 2021.

Client alleged i made a poor recommendation that she surrender her variable annuity contract.