Securities Lawyers Blog

Broker Alyssa Schultz in Pruco Securities, LLC. Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alyssa Schultz (Schultz), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 $70,000.00 on April 13, 2021.

The complainants allege that beginning in or around 2015, the rep sold them unsuitable securities and concealed the inherent risks of them, which caused them financial harm.

There are Recent Customer Complaints with Broker Yi Ping Chou in Firm Emerson Equity LLC

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yi Ping Chou (Chou), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chou 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 $200,000.00 on April 12, 2021.

Alleged Suitability and conflicts of interest dtd 6/10/2014

Broker Bernard Jasmin in PHX Financial, INC. Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Bernard Jasmin (Jasmin), previously associated with PHX Financial, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Jasmin 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 $4,800,000.00 on April 12, 2021.

Fraud, Churning, Unauthorized trading, Excessive Commissions

Broker Richard Mukomela in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Mukomela (Mukomela), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mukomela 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 $100,000.00 on April 09, 2021.

The complainants allege that in 2014, they were solicited by the rep to invest in a REIT and were told that it was a solid, asset backed investment that would pay consistent income with principal protection. They have since learned that income is no longer being paid, it is non-traded, rated below investment grade and is subject to volatility, which has caused them to be financially damaged.

There are Recent Customer Complaints with Broker Danny Young in Firm Kovack Securities INC.

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danny Young (Young), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Young 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 April 12, 2021.

Claimants allege that representative sold them risky, high-fee investments in 2015 and 2016 which were unsuitable for their investment needs and inconsistent with their investor profiles.

There are Recent Customer Complaints with Broker Jeffrey Everson in Firm Liberty Partners Financial Services, LLC

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Everson (Everson), previously associated with Liberty Partners Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Everson 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 $90,000.00 on April 12, 2021.

Customer complained on losses of a fixed annuity in 2018

There are Recent Customer Complaints with Broker Sean Mahoney in Firm Western International Securities, INC.

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mahoney (Mahoney), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mahoney 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 $100,000.00 on April 12, 2021.

Breach of Contract

Broker Joyanna Argeny Wildern in LPL Financial LLC Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joyanna Argeny Wildern (Argeny Wildern), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Argeny Wildern 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 April 14, 2021.

Client alleges that 2019 variable annuity purchase was unsuitable.

There are Recent Customer Complaints with Broker Todd Sanders in Firm PHX Financial, INC.

February 22, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Todd Sanders (Sanders), previously associated with PHX Financial, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Sanders 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 $4,800,000.00 on April 12, 2021.

Fraud, Churning, Unauthorized trading, excessive commissions

Broker W Gerety in Ages Financial Services, Ltd. Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker W Gerety (Gerety), previously associated with Ages Financial Services, Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Gerety 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 $999,999.00 on April 12, 2021.

In 2016 client invested $100,000 in a natural gas investment with tax advantages. In 2017 client invested $2,000,000 in a diversified portfolio of alternative investments.