Securities Lawyers Blog

There are Recent Customer Complaints with Broker Daniel Spoust in Firm Andrew Garrett INC.

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Spoust (Spoust), previously associated with Andrew Garrett INC., has at least one disclosable event. These events include one customer complaint, alleging that Spoust 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 $185,000.00 on February 23, 2022.

Improper and unsuitable trades

There are Recent Customer Complaints with Broker William Fielder in Firm Allstate Financial Services, LLC

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Fielder (Fielder), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fielder 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 $60,000.00 on February 22, 2022.

Surviving Spouse ([REDACTED]) and Beneficiary of Customer [REDACTED], now deceased, has expressed verbal concerns to current representative after receiving an IRS letter stating taxes and penalties of approximately $60k are due with regard to a NQ Prudential VA purchased 10/2019 with the help of former EFS Rick Fielder. [REDACTED] alleges Mr. Fielder told he and his wife there would be no taxes due regarding a liquidation and sale ($280,000) of stock in 2019 to fund the VA, along with a personal check of $100,000 and has further stated they would have never gone through with the transaction had they known they would be taxed. [REDACTED] has further stated the representative and/or AFS should be liable for the tax bill.

There are Recent Customer Complaints with Broker Ralph Courtland in Firm Wells Fargo Advisors Financial Network, LLC

December 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 18, 2022.

Claimant alleges that the branch manager failed to supervise the FA from April 2012 through September 2019 that recommended annuities that were unsuitable.

Broker Brent Prather in MML Investors Services, LLC Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Prather (Prather), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Prather 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 $18,484.40 on February 17, 2022.

The complainant alleges that the variable annuity that he purchased in 2020 was misrepresented, stating that the rep confirmed both before and after the sale that the performance rate on his policy anniversary date would be 11.25%, however, it was only 4.5%, causing his account to receive $18,484.40 less than was promised.

Broker Justin Limmer in M. S. Howells & CO. Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Limmer (Limmer), previously associated with M. S. Howells & CO., has at least one disclosable event. These events include one customer complaint, alleging that Limmer 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 $60,265.77 on February 19, 2022.

ON FEBRUARY 19, 2022, [REDACTED] COMPLAINED THAT HIS ACCOUNTS HAD SIGNIFICANTLY DECLINED IN VALUE. [REDACTED] HAD A CONSERVATIVE INVESTMENT OBJECTIVE, LOW RISK TOLERANCE AND LIMITED INVESTMENT KNOWLEDGE. THE REGISTERED REPRESENTATIVE, MR. LIMMER, INVESTED THE CLIENT’S ACCOUNTS IN SMAs WITH AN UNDERLYING TACTICAL BOND FUND THAT DECLINED IN VALUE DUE TO MARKET VOLATILITY. THE INVESTMENT ADVISORY FIRM HE WAS ASSOCIATED WITH MADE A BUSINESS DECISION TO COMPENSATE THE CLIENT $60265.77 FOR HIS LOSSES RATHER THAN INCUR EXTENSIVE LITIGATION COSTS.

There are Recent Customer Complaints with Broker Gregory Bodkin in Firm Revere Securities LLC / Mcg Securities LLC / IBN Financial Services, INC.

December 7, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Gregory Bodkin (Bodkin), currently associated with Revere Securities LLC / Mcg Securities LLC / IBN Financial Services, INC., has been subject to at least 4 disclosable events. These events include 4 customer complaints. Several of those complaints against Bodkin concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,355,156.98 on February 16, 2022.

Fraud, churning, unauthorized trading, excessive trading/commissions, breach of fiduciary duty, unsuitable recommendations, breach of contract, negligence, unjust enrichment, and failure to supervise. No specific dates of alleged activity are provided, due to the numerous clients contained in the claim.

There are Recent Customer Complaints with Broker Jason Jodway in Firm Allstate Financial Services, LLC

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Jodway (Jodway), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jodway 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 February 24, 2022.

Failure to perform due diligence, breach of fiduciary duty, and otherwise negligent in recommending an investment in an oil and gas private placement: the Explore America Income fund.

Broker Darren Graff in J.P. Morgan Securities LLC Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 24, 2022.

Claimant, a former client and former advisor, alleges unauthorized transactions in one security and commissions owed per agreement. Activity dates 2/16 – 3-21.

Broker David Crossan in LPL Financial LLC Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Crossan (Crossan), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crossan 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 17, 2022.

Claimant alleges that she was sold a series of annuities, where the income was used to fund a whole life insurance policy and that this investment strategy was clearly entered for purposes of commissions. Claimant also alleges that Wells Fargo’s actions constitute a breach of fiduciary duty, obtaining excessive commissions in an unsuitable whole life insurance recommendation which constitutes gross negligence.

There are Recent Customer Complaints with Broker Bradley Kaiser in Firm Hamilton Grant LLC

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Kaiser (Kaiser), currently associated with Hamilton Grant LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kaiser 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 $16,440,221.00 on February 16, 2022.

Control Person Liability; Failure to Supervise