Securities Lawyers Blog

There are Recent Customer Complaints with Broker Kevin Forrest in Firm Morgan Stanley

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Forrest (Forrest), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Forrest 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 $2,000,000.00 on February 06, 2026.

Claimant alleged FA employed unsuitable options trading strategy.

Broker Erik Antener in Park Avenue Securities LLC Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Antener (Antener), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Antener 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 $150,000.00 on February 11, 2026.

Customer filed a FINRA arbitration alleging, among other things, that the registered representative engaged in unauthorized and unsuitable trading in connection with her investment accounts, including allegations that trades were effected without her knowledge or consent and without proper authorization. The matter remains pending.

There are Recent Customer Complaints with Broker Ian Mcelreath in Firm Metric Financial, LLC

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Mcelreath (Mcelreath), currently associated with Metric Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcelreath 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 $416,844.69 on February 19, 2026.

Breach of contract, violation of securities laws and Regulation Best Interest

Broker Craig Gougis in Emerson Equity LLC Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Gougis (Gougis), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gougis 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 $698,000.00 on February 16, 2026.

Breach of contract, violation of securities laws and Regulation Best Interest(2022)

There are Recent Customer Complaints with Broker Cherrie Brickhouse in Firm UBS Financial Services INC.

June 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 09, 2026.

Time Frame: 2/5/2026 to 2/9/2026 \, \, What were the allegations against the individual? The Trustee alleges the Relationship Manager (Senior Wealth Strategy Associate) failed to execute trades as instructed.

There are Recent Customer Complaints with Broker Tim Clairmont in Firm Cetera Wealth Services, LLC

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tim Clairmont (Clairmont), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clairmont 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 $5,000.00 on February 13, 2026.

Customer alleges misrepresentation of Trilinc Global Impact Funds purchased from financial professional in 2016.

There are Recent Customer Complaints with Broker Michael Mcintyre in Firm B. Riley Wealth Management

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mcintyre (Mcintyre), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Mcintyre 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 $250,000.00 on February 13, 2026.

Client alleges that the registered representative recommended unsuitable investments in the client’s account(s) that were inconsistent with the client’s investment objectives and risk tolerance.

Broker Eric Wurtel in Cetera Financial Specialists LLC Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Wurtel (Wurtel), currently associated with Cetera Financial Specialists LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wurtel 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 $25,000.00 on February 17, 2026.

Claimant alleges representative recommended unsuitable investments

Broker Joseph Lauzon in LPL Financial LLC Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Joseph Lauzon (Lauzon) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Lauzon was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Lauzon’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $250,000.00 on February 11, 2026.

Aallegations of misappropriation and unauthorized disbursements from a client account

Broker Marilee Hill in Emerson Equity LLC Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marilee Hill (Hill), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 $500,000.00 on February 18, 2026.

Breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of federal securities laws, violation of state securities act and violation of Best Interest Obligations. Investment made in or around 2018.