Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jacqueline Aime in Firm Ameriprise Financial Services, LLC

July 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jacqueline Aime (Aime), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aime 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 $14,500.00 on March 26, 2020.

When your financial advisor is providing advice they must adhere to the SEC’s Regulation Best Interest (Reg BI) rule and standard of care. Reg BI replaced the former “suitability” rule and created a ‘best interest’ standard for brokerage firms and registered representatives. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened.

There are Recent Customer Complaints with Broker William Heiden in Firm Wedbush Securities INC.

July 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Heiden (Heiden), previously associated with Wedbush Securities INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Heiden 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 $150,000.00 on March 25, 2020.

Alleged that the financial advisor placed unauthorized trade, engaged in unsuitably risky trading and overly concentrated the acocunt in positions with heavy loss exposure.

There are Recent Customer Complaints with Broker Joshua Breeden in Firm UBS Financial Services INC.

July 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 26, 2020.

Client alleges mutual fund investment was misrepresented. 2019-2020 damages unspecified

There are Recent Customer Complaints with Broker Thomas Logue in Firm American Independent Securities Group, LLC

July 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Logue (Logue), previously associated with American Independent Securities Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Logue 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 $1,588,000.00 on March 26, 2020.

Unsuitable transaction

Broker Stephen Lawless in Morgan Stanley Firm Has Customer Complaint

July 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 26, 2020.

Client alleges failure to follow instructions with respect to risk of investments and their liquidation. 2020 damages unspecified

Broker James Louderbaugh in Oppenheimer & CO. INC. Firm Has Customer Complaint

July 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2020.

Cause of action is breach of fiduciary duties, related to an allegation that the Registered Representative failed to ascertain the scope of authority granted by Claimant in a Power of Attorney to a third-party, in connection with Claimant’s account. Time Period – 12/1/2016 to 7/1/2019

Broker Robert Radli in Raymond James & Associates, INC. Firm Has Customer Complaint

July 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Radli (Radli), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Radli 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 $800,000.00 on March 24, 2020.

Client alleges unsuitable makeup of investments which resulted in losses. Allegation Activity Dates: 6/3/11 – 2/28/20.

Broker Corydon Wheat in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2020.

Client verbally complained a portion of his trade instructions was not completed as he instructed. Remainder of instructions were completed in trade corrections resulting in correction losses. (3/11/2020)

Broker Jonathan Mirer in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 24, 2020.

Claimants allege FA over-concentrated their portfolio in unsuitable investments.

There are Recent Customer Complaints with Broker Scott Blando in Firm Edward Jones

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Blando (Blando), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Blando 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 $50,000.00 on March 27, 2020.

Plaintiffs, as executor and personal representative of Estate, allege that beneficiaries were not designated according to the instructions of the decedent in October 2018. As a result, Plaintiffs did not receive distributions of approximately $50,000.00.