Securities Lawyers Blog

There are Recent Customer Complaints with Broker Leslie Little in Firm J.P. Morgan Securities LLC

January 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leslie Little (Little), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Little 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 November 03, 2025.

Customer alleges misrepresentation regarding variable annuity. Activity dates 9/13/10.

Broker Michael Lipschutz in UBS Financial Services INC. Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lipschutz (Lipschutz), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lipschutz 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 $319,000.00 on November 05, 2025.

Time frame: 2024\, Claimant\\u2019s counsel alleges that former UBS advisor Mr. Lipschutz improperly invested all of their assets on a highly speculative trading platform that was not authorized by UBS, which resulted in heavy losses. \,

Broker Michael Lapushner in Aegis Capital Corp. Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 05, 2025.

Claimant alleges unsuitable investments, breach of fiduciary duty, breach of contract, misrepresentation and omission, overconcentration

Broker Francis Cunningham in B. Riley Wealth Management Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Francis Cunningham (Cunningham), currently associated with B. Riley Wealth Management, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Cunningham 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 $18,469.04 on October 31, 2025.

Customer alleges unauthorized transfer of account, unauthorized purchases and sales of assets, and churning.

There are Recent Customer Complaints with Broker John Hardiman in Firm Janney Montgomery Scott LLC

January 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hardiman (Hardiman), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hardiman 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 $5,000.00 on November 05, 2025.

Client alleges that Advisor misrepresented the characteristics of investments that he recommended for the client’s accounts between December 2024 and June 2025.

There are Recent Customer Complaints with Broker Adam Stern in Firm Aegis Capital Corp.

January 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 05, 2025.

Claimant alleges unsuitable investment, breach of fiduciary duty, breach of contract, misrepresentation and omission, overconcentration

Broker Bruce Beetz in Emerson Equity LLC Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 03, 2025.

Breach of Fiduciary Duty; Misrepresentations and Omissions; Violation of Nevada Securities Laws; Violation of California Securities Laws. Trades placed between 2017 and 2024

There are Recent Customer Complaints with Broker Qiong Jackson in Firm Ameriprise Financial Services, LLC

January 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Qiong Jackson (Jackson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 $2,000,000.00 on November 13, 2025.

Claimants allege Advisor failed to protect them from a scam that liquidated their accounts.

Broker Jeremy Benson in Nylife Securities LLC Firm Has Customer Complaint

January 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on November 13, 2025.

Respondent Benson failed to respond to FINRA requests for information.

Broker Thomas Bucholtz in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

January 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Bucholtz (Bucholtz), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Bucholtz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 10, 2025.

The client alleges failure to follow instructions related to the sale of stock on November 6, 2025.