Securities Lawyers Blog

Broker Stephanie O’hara in LPL Financial LLC Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on March 14, 2022.

The decision to offer 3.75% on the line of credit instead of 3.25% violated Reg BI and advice within investment strategy that claimant should borrow against the non-purpose loan at 3.75% rather than sell pledged stock (BGCP) which was paying 6% and disabusing claimant of claimant’s idea to liquidate shares to buy Florida home.

Broker Kevin O’brien in Wealth Enhancement Brokerage Services, LLC Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin O’brien (O’brien), currently associated with Wealth Enhancement Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that O’brien 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 $50,713.00 on May 19, 2022.

The claimant alleges the financial professional placed the claimant in moderately conservative investments as opposed to conservative or “zero risk” investments.

Broker William O’connor in Bivo Financial LLC Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William O’connor (O’connor), currently associated with Bivo Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that O’connor 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 $110,000.00 on October 31, 2022.

Failed to supervise Tony Liddle

How to Choose the Right Securities Arbitration Attorney

January 8, 2026 | by Staff Attorney

Overview

FINRA arbitration is not ordinary litigation. It is a specialized forum governed by its own rules, decided by industry-experienced arbitrators, and capable of producing consequences that follow a financial professional for the rest of their career. Selecting the right attorney in this setting is not simply about hiring a capable litigator; it is about finding counsel who understands the securities industry, the regulatory environment, and the long-term implications of arbitration outcomes.

For financial advisors facing customer claims, employment disputes, or regulatory investigations, the quality of legal representation can be the difference between career continuity and lasting professional damage. This guide explains what makes securities arbitration unique and how to identify an attorney equipped to protect both your immediate interests and your professional future.

Broker Jaden Gurney in Raymond James Financial Services, INC. Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 04, 2025.

Failure to follow instructions.

There are Recent Customer Complaints with Broker Christopher Gordon in Firm Centaurus Financial, INC.

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Gordon (Gordon), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gordon 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 October 28, 2024.

The customer alleges that the Registered Representative recommended an unsuitable Oil and Gas Investment. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Jeffrey Warren in Vanderbilt Securities, LLC Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

Currently financial advisor Jeffrey Warren (Warren), currently employed by brokerage firm Vanderbilt Securities, 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 pending customer complaint with a damage request of $100,000.00 on August 04, 2024.

The claimant alleges that financial advisor made unsuitable recommendations by concentrating nearly $300,000 of retirement assets into illiquid, high-commission private placements and non-traded REITs. These investments were misrepresented as safe, lacked transparency, and were inappropriate for retirees. The advisors also engaged in options trading within IRA accounts, resulting in losses estimated between $100,000 and $500,000.

Broker Eric Luckey in Stonex Securities INC. Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Luckey (Luckey), currently associated with Stonex Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Luckey 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 $7,746.00 on July 01, 2025.

Claimants alleged that, after their father’s passing, his money continued to be invested without Claimants’ permission, resulting in a loss on the account.

Broker Alfonso Figueroa Bello in Stonecrest Capital Markets, INC. Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Alfonso Figueroa Bello (Figueroa Bello), previously associated with Stonecrest Capital Markets, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Figueroa Bello concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,300,000.00 on July 02, 2025.

Claimant alleges misconduct from 12/2017 to 8/2022 for Suitability, Excessive Trading, Unauthorized Trading, Churning

Broker Molly Vannier in Edward Jones Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Molly Vannier (Vannier), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Vannier 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 $55,000.00 on November 15, 2022.

Plaintiff, individually and as personal representative of the client's estate, asserts various claims alleging Defendants failed to properly disburse decedent's accounts. Specifically, Plaintiff alleges that on or about September 27, 2021, Defendants permitted a disbursement from the decedent's account to another individual when the Plaintiff was the proper beneficiary.