Securities Lawyers Blog

Broker Hardee Jerrels in Charles Schwab & Co., INC. Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hardee Jerrels (Jerrels), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Jerrels 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 $345,000.00 on August 28, 2020.

The client alleges the investments he purchased in 2014 were unsuitable and misrepresented to him by the representative. The client also alleges the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

Broker Ajay Desai in UBS Financial Services INC. Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ajay Desai (Desai), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Desai 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 $1,000,000.00 on August 31, 2020.

Time frame: 2012-2020\<char_lb_r>\, Claimant’s counsel alleges unsuitability and negligence with respect to recommendations and investment of accounts.

There are Recent Customer Complaints with Broker Michael Barry in Firm Stifel, Nicolaus & Company, Incorporated

April 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 04, 2020.

Claimant alleges breach of fiduciary duty, misrepresentation and non-disclosure, negligence and gross negligence, and violation of Louisiana Securities Laws.

Broker Hector Martinez in First Southern, LLC Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hector Martinez (Martinez), currently associated with First Southern, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martinez 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 $147,000.00 on August 28, 2020.

Time frame: Unspecified. Allegations: Claimant alleges the recommendation to invest and hold PR Closed-End Funds was unsuitable and that his account was over-concentrated in these investments. Claimant also alleges that the risk of investing in and concentration in Puerto Rico investments was misrepresented.

There are Recent Customer Complaints with Broker Lynn Carter in Firm Truist Investment Services, INC.

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lynn Carter (Carter), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Carter 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 $110,000.00 on August 31, 2020.

Clients allege that representative made an unsuitable recommendation.

Broker Randall Krenzin in Morgan Stanley Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 31, 2020.

Client complained that the financial advisor placed three orders in the account but there should have only been two. (7/31/2020)

Broker Kevin Krym in Raymond James Financial Services, INC. Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 02, 2020.

Client alleges unsuitable investment strategies

There are Recent Customer Complaints with Broker Kenneth Fechtor in Firm Revere Securities LLC

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Fechtor (Fechtor), previously associated with Revere Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fechtor 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 $277,000.00 on September 01, 2020.

Client alleges concentration involving inappropriate securities.

Broker Hugh Barndollar in Crown Capital Securities, L.p. Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hugh Barndollar (Barndollar), previously associated with Crown Capital Securities, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Barndollar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 28, 2020.

Customer alleges lack of suitability, negligence, misrepresentations and omissions of material facts in regard to transactions in nontraditional, alternative and/or non-traded reit investments.

Broker Gary Ginsberg in Osaic Institutions, INC. Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Ginsberg (Ginsberg), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ginsberg 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 September 03, 2020.

Claimant alleges royal alliance’s due diligent review of an alternative investment was unreasonable