Securities Lawyers Blog

There are Recent Customer Complaints with Broker William Olinger in Firm Valmark Securities, INC.

April 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Olinger (Olinger), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Olinger 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 $500,000.00 on January 08, 2026.

Breach of fiduciary duty and regulation best interest

Broker Theresa Allen in RBC Capital Markets, LLC Firm Has Customer Complaint

April 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theresa Allen (Allen), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Allen 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 $130,069.20 on January 15, 2026.

Customer alleges unsuitable investment recommendation. Activity dates 2021- March 2023,

There are Recent Customer Complaints with Broker Paul Peeler in Firm LPL Financial LLC

April 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Peeler (Peeler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peeler 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 January 08, 2026.

Customer verbally alleged misrepresentation of annuity feature 11/1/2010-4/9/2025

There are Recent Customer Complaints with Broker Albert Wojcik in Firm LPL Financial LLC

April 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Albert Wojcik (Wojcik), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wojcik 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 $100,000.00 on January 14, 2026.

Customers state representative recommended investments in REITS that were not within their best interest and that resulted in financial losses.

Broker Patty Dawson in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

April 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 14, 2026.

Customer alleged registered representative made an unsuitable investment recommendation.

Broker Robert Pipkins in Nylife Securities LLC Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 18, 2026.

Customer’s allegations question whether the Variable Annuity policies he purchased were appropriate products, and requests a financial analysis.

There are Recent Customer Complaints with Broker Enrique Lopez del castillo Franco in Firm Investment Planners, INC.

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enrique Lopez del castillo Franco (Lopez del castillo Franco), previously associated with Investment Planners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopez del castillo Franco 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 $10,000.00 on January 15, 2026.

In November of 2025, client sent a complaint alleging unauthorized trading for $10000 of preferred shares of Prospect Capital. Claim states she notified the advisor after their October 2024 meeting to not place the the preferred stock trade, to which she stated the financial professional confirmed via text message.

Broker Joel Chouinard in Nylife Securities LLC Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 20, 2026.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts.

There are Recent Customer Complaints with Broker Kenneth Boyer in Firm Charles Schwab & Co., INC.

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Boyer (Boyer), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Boyer 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 $134,000.00 on January 20, 2026.

The client alleges in August 2025, the representative acted, caused, or allowed an unauthorized transfer of funds from her account, that was initiated by an approved full trading agent, without her authorization.

Broker Elizabeth Husserl in Integrity Alliance, LLC. Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Husserl (Husserl), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Husserl 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 $38,000.00 on January 16, 2026.

‘Customer allegations concerning mismanagement of customer’s investment advisory account.