Securities Lawyers Blog

Broker Samuel Head in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Head (Head), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Head 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 $315,000.00 on September 09, 2020.

Customer alleges that investments sold to him in 2014 were unsuitable based on his desire to protect his principal.

There are Recent Customer Complaints with Broker Kristine Howell in Firm Sigma Financial Corporation

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristine Howell (Howell), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Howell 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 $5,000,000.00 on September 14, 2020.

Statement of claim alleges in 2014, Claimant’s assets were invested in alternative investments which were unsuitable and inappropriate given her unique financial situation and investment objective.

Broker Steven Kirchner in Exos Securities LLC Firm Has Customer Complaint

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Kirchner (Kirchner), previously associated with Exos Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirchner 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 $80,780,000.00 on September 09, 2020.

Plaintiffs allege that from early 2014 through April 2016, their investment manager Premium Point Investments LLP fraudulently overstated the value of their holdings. Plaintiffs allege Premium Point was able to do so in part because Performance Trust Capital Partners, LLC, through Mr. Kirchner and other Performance Trust employees, provided bid quotes on various securities that did not reflect the actual value of those securities. Plaintiffs allege Performance Trust provided these quotes in exchange for executing trades through Performance Trust, earning commissions for Performance Trust and its employees.

There are Recent Customer Complaints with Broker Kyle Franklin in Firm Hilltop Securities INC.

March 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 11, 2020.

Claimants allege their financial advisor recommended unsuitable investments. Claimants allege breach of duty and contract, negligence, and failure to supervise.

There are Recent Customer Complaints with Broker Steven Foote in Firm J.P. Morgan Securities LLC

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Foote (Foote), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Foote 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 $11,300,000.00 on September 08, 2020.

Claimants alleges exercise of discretion and unsuitable investments. Activity dates August 2016 – July 2020.

Broker Robert Darnall in Edward Jones Firm Has Customer Complaint

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Darnall (Darnall), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Darnall 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.

The client alleges that the joint income rider was misrepresented in 2015.

Broker Peter Smith in LPL Financial LLC Firm Has Customer Complaint

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Smith (Smith), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $25,000.00 on September 10, 2020.

Claimant vaguely alleges that her financial professional recommended that she invest in two non-public REIT investments which were unsuitable for her investment portfolio. Claimant fails to provide any specific supporting allegations that demonstrate why or how the investments were unsuitable for her. The time period 09/2014 – 09/2020.

Broker Michael Williams in Raymond James Financial Services, INC. Firm Has Customer Complaint

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Williams (Williams), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 08, 2020.

Customer alleges purchases of FS Investment Corp. III and Griffin-American Healthcare REIT were unsuitable.

There are Recent Customer Complaints with Broker Charles Fenner in Firm Wells Fargo Clearing Services, LLC

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Fenner (Fenner), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fenner 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 Kyoung Hwan Paik in Nylife Securities LLC Firm Has Customer Complaint

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyoung Hwan Paik (Paik), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paik 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 $6,429.01 on September 17, 2020.

The customer alleged that in or around July 2020 the RR altered a whole life insurance payment request form, changed the date on the form from 4/26/2020 to 7/26/2020 and initiated a recurring payment. Further, the customer alleged that the RR used her online client login credentials to make a payment in the amount of $6,429.01 from the customer’s bank account to repay the customer’s outstanding policy loan balance without her authorization.