Securities Lawyers Blog

Broker Matthew Grubb in Raymond James & Associates, INC. Firm Has Customer Complaint

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Grubb (Grubb), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grubb 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 $34,038.00 on December 09, 2025.

COMPLAINT ALLEGES VIOLATION OF REG-BI WITH RESPECT TO INVESTMENT RECOMMENDATION TO INVEST IN MUTUAL FUND 2021

There are Recent Customer Complaints with Broker Avi Bialo in Firm Arete Wealth Management, LLC

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Avi Bialo (Bialo), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bialo 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 $105,000.00 on November 25, 2025.

Client alleges registered representative recommended an unsuitable investment.

There are Recent Customer Complaints with Broker Jessica Tomac in Firm Edward Jones

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jessica Tomac (Tomac), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Tomac 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 $40,000.00 on November 24, 2025.

Client alleges the sells of Bridgebuilder Funds in her account on November 19, 2025 were unauthorized.

Broker Thomas Steele in Morgan Stanley Firm Has Customer Complaint

January 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 26, 2025.

Client alleges misrepresentations and unsuitable investment recommendations.

Broker Bradley Davidson in Emerson Equity LLC Firm Has Customer Complaint

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Davidson (Davidson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davidson 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 $475,000.00 on December 09, 2025.

Information contained herein was obtained by the amended U5 filing by Wealth Forge Securities, LLC\, From Investment activity in November 2022, claimant alleges fraud, misrepresentation, omission of facts, unsuitable recommendations, breach of contract, breach of fiduciary duty, and negligence

Broker Michael Bird in Cambridge Investment Research, INC. Firm Has Customer Complaint

January 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 20, 2025.

Client alleges that unauthorized withdrawals were permitted to be made from her account by her husband and that she was not communicated with to confirm the transactions.

Broker Nouachi Vang in LPL Financial LLC Firm Has Customer Complaint

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nouachi Vang (Vang), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vang 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 $135,000.00 on November 24, 2025.

THE CLIENT ALLEGES FRAUDULENT MISAPPROPRIATION OF ASSETS RESULTING IN A FINANCIAL LOSS EXCEEDING $135,000.00

There are Recent Customer Complaints with Broker Sam Bhushan in Firm Cabin Securities, INC.

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sam Bhushan (Bhushan), currently associated with Cabin Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bhushan 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 $2,025,634.00 on November 25, 2025.

The complaint against his member asserted the following causes of action, common law fraud, unsuitable recommendations, and breach of fiduciary duty.

Broker Christopher Rogers in Emerson Equity LLC Firm Has Customer Complaint

January 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 24, 2025.

Compensatory damages; breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of the Arizona Securities Act and federal securities laws, and Violation of Best Interest Obligations. 2022

There are Recent Customer Complaints with Broker Conrad Cook in Firm LPL Financial LLC

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conrad Cook (Cook), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cook 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 $311,200.00 on November 20, 2025.

Claimants allege that the investments held in decedent’s retirement account were not immediately liquidated upon her death and that the investments declined in value prior to liquidation, resulting in a lesser payout to the beneficiaries.