Securities Lawyers Blog

Broker Brandon Bowman in Ameritas Investment Company, LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Bowman (Bowman), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowman 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 $300,000.00 on February 02, 2023.

Claimant alleges they were recommended and overconcentrated in unsuitable investments.

Broker Martin Brooks in United Planners’ Financial Services of America A Limited Partner Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Brooks (Brooks), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Brooks 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 $350,000.00 on February 01, 2023.

Claimant alleges breach of fiduciary duty, breach of contract, and misrepresentation.

Broker James Couture in LPL Financial LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker James Couture (Couture) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Couture was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Couture’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on February 06, 2023.

Customer alleges misappropriation of funds between January 2011 and January 2020

There are Recent Customer Complaints with Broker Donald Deans in Firm Patrick Capital Markets, LLC

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Deans (Deans), previously associated with Patrick Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Deans 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 $450,000.00 on February 03, 2023.

Failed to conduct a reasonable due diligence, disclose material facts and misrepresentation.

Broker William Friedman in Pinnacle Investments, LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 06, 2023.

Unsuitability, Common Law Fraud, Breach of Fiduciary Duty, Negligent Supervision, Breach of Contract.

There are Recent Customer Complaints with Broker Christopher Hartman in Firm Kovack Securities INC.

September 22, 2025 | by Staff Attorney

Previously financial advisor Christopher Hartman (Hartman), previously employed by brokerage firm Kovack Securities INC. has been subject to at least 3 disclosable events. These events include 3 customer complaints. 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 February 04, 2023.

Claimants allege that they were recommended unsuitable REITs.

There are Recent Customer Complaints with Broker Louis Nemeth in Firm LPL Financial LLC

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis Nemeth (Nemeth), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nemeth 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 $50,000.00 on February 06, 2023.

Clients allege an unsuitable and unauthorized investment in a penny stock. Activity occurred on August 5, 2022.

Broker Cynthia Couyoumjian in Independent Financial Group, LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Couyoumjian (Couyoumjian), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Couyoumjian 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 $136,900.00 on February 06, 2023.

Allege investment was not suitable.

There are Recent Customer Complaints with Broker Jack Elvestrom in Firm Morgan Stanley

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Elvestrom (Elvestrom), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Elvestrom 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 $400,000.00 on February 03, 2023.

Claimant alleges, inter alia, failure to follow instructions with respect to conservative investment plan for client account from 2021 to 2022.

Broker Daniel Terry in Edward Jones Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Terry (Terry), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Terry 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 $14,865.80 on February 06, 2023.

Clients allege they had requested for their accounts to transfer outside of Edward Jones with only non-transferrable assets being liquidated. Clients further allege everything was liquidated prior to transfer.