Securities Lawyers Blog

There are Recent Customer Complaints with Broker Ross Perloe in Firm National Securities Corporation

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ross Perloe (Perloe), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Perloe 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 $50,000.00 on May 06, 2021.

Suitability

There are Recent Customer Complaints with Broker Richard Martin in Firm Ameriprise Financial Services, LLC

February 18, 2026 | by Staff Attorney

Currently financial advisor Richard Martin (Martin), currently employed by brokerage firm Ameriprise Financial Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $330,430.00 on May 07, 2021.

The clients stated that they were provided incorrect amounts for their Required Minimum Requirement (RMD) distributions for 2014 and 2015 and were sold illiquid insurance policies (April 1991 through April 2015), annuities (April 2006 through April 2013), and a non-traded REITs (February 2009 through August 2014) that were inappropriate for their ages.

There are Recent Customer Complaints with Broker Lesley Atchley in Firm Osaic Wealth, INC.

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lesley Atchley (Atchley), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Atchley 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 $19,290.14 on May 07, 2021.

Customer alleges that financial professional did not disclose that exchanging prior annuity for a new annuity would result in a new surrender period.

Broker David Betz in UBS Financial Services INC. Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 04, 2021.

Time Frame: November 20, 2020 The authorized individual alleges a large amount of stock was\, liquidated without the full knowledge of her mother. The authorized individual further alleges her\, mother did not understand the tax implications of this transaction. The authorized individual finally\, alleges a failure to act in the best interest of the client and a breach of fiduciary duties. The\, alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Patrick Harris in Firm Sagepoint Financial, INC.

February 18, 2026 | by Staff Attorney

Previously financial advisor Patrick Harris (Harris), previously employed by brokerage firm Sagepoint Financial, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $20,000.00 on May 04, 2021.

Misrepresentation of a BDC is alleged.

There are Recent Customer Complaints with Broker Jan Cummins in Firm Janney Montgomery Scott LLC

February 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 07, 2021.

Client alleged that he purchased a market-linked CD based on the misrepresentations of his Financial Advisor.

There are Recent Customer Complaints with Broker Terri Jones in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 14, 2021.

The customer alleges a misrepresentation was made in May 2021.

There are Recent Customer Complaints with Broker Adam Kaplan in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Kaplan (Kaplan), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan 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 $4,160.27 on May 12, 2021.

[redacted] placed a formal complaint with the sec that his adviser fees were in the 2.5-3% range with a signed agreement stating fees should be 1%

There are Recent Customer Complaints with Broker Daniel Kaplan in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Kaplan (Kaplan), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan 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 $4,160.27 on May 12, 2021.

[redacted] placed a formal complaint with the sec that his adviser fees were in the 2.5-3% range with a signed agreement stating fees should be 1%

There are Recent Customer Complaints with Broker Robert Armstrong in Firm Dawson James Securities, INC.

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Armstrong (Armstrong), previously associated with Dawson James Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Armstrong 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 $2,330,000.00 on May 12, 2021.

Customer claims that rep’s failure to sell shares of a sub NASDAQ security not held at rep’s clearing firm resulted in lost profits of approximately $2,000,000.00. This occurred, per the customer, during February 2021. UPDATE 8/31/22. Arbitration received by firm on 8/29/22. Customer alleges in statement of claim breach of fiduciary duty and neglicence in regards to unsold shares of HCMC.