Securities Lawyers Blog

There are Recent Customer Complaints with Broker Glenn Arons in Firm Park Avenue Securities LLC

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Arons (Arons), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arons 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 $315,000.00 on March 16, 2021.

Claimants allege the RR violated his suitability obligation and was negligent in recommending investments in three private equity ventures.

There are Recent Customer Complaints with Broker David Weiniger in Firm Velocity Clearing, LLC

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Weiniger (Weiniger), currently associated with Velocity Clearing, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weiniger 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 $24,000,000.00 on March 15, 2021.

The customer is alleging that the losses it suffered were the result of the restrictions placed upon it by the Firm in its trading and its access to margin during the market volatility that occurred at the onset of the COVID 19 pandemic in February and March 2020.

Broker Donald Gunn in International Assets Advisory, LLC Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Gunn (Gunn), currently associated with International Assets Advisory, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gunn 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 $500,000.00 on March 16, 2021.

Negligence, violation of florida’s securities and investor protection act, common law fraud, etc. Regarding purchase of gpb products.

There are Recent Customer Complaints with Broker Harvey Ross in Firm Oppenheimer & CO. INC.

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harvey Ross (Ross), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Ross 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 $710,695.00 on March 16, 2021.

Customer asserts claims for breach of fiduciary duty, breach of contract and\, negligence in connection with investments in discretionary account. 1/1/2017 to 12/31/2020.

Broker Alan Haenel in Kovack Securities INC. Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Haenel (Haenel), previously associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Haenel 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 $99,999.00 on March 17, 2021.

Claimant alleges breach of fiduciary duty, negligence, and breach of contract pertaining to the purchase, in Nov. 2017, of GPB Automotive Portfolio LP, a DPP.

Broker Stephen Hall in UBS Financial Services INC. Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 19, 2021.

Time Frame: August 25, 2020\, \, What were the allegations against the individual? \, \, The client alleges unauthorized trading. The alleged damages are estimated to be in excess of $5,000.00.

Broker Kyle Flynn in Cetera Wealth Services, LLC Firm Has Customer Complaint

February 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Flynn (Flynn), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Flynn 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 March 19, 2021.

Client alleges he incurred a large tax bill as a result of rr recommending an unsuitable backdoor roth conversion in July 2020.

Broker Geremy Connor in LPL Financial LLC Firm Has Customer Complaint

February 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Geremy Connor (Connor), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that 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 $78,000.00 on March 25, 2021.

Claimants allege their financial professionals recommended they invest in two Business Development Companies that were unsuitable for their financial portfolio.

There are Recent Customer Complaints with Broker Adam Fenster in Firm Oneamerica Securities, INC.

February 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2021.

The complainant alleges that in March 2015, the representative recommended that her husband roll over his 401(k) into a Fixed Annuity. The complainant believes the Fixed Annuity was misrepresented, and was not a suitable investment, because of her husband’s health.

Broker Brian Henning in Key Investment Services LLC Firm Has Customer Complaint

February 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Henning (Henning), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henning 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 $5,706.33 on March 25, 2021.

Client faxed letter to carrier alleging RR misrepresented features of the Jackson National variable annuity purchased 3/16/21 in the amount of $250,000.00 and is requesting return of premium.