Securities Lawyers Blog

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

March 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 15, 2020.

The customer alleges the fraudulent transfer of stocks.

There are Recent Customer Complaints with Broker Daniel Szmyrko in Firm Allianz Life Financial Services, LLC

March 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 15, 2020.

Regarding the 2019 purchase of a variable universal life policy, the client alleged that the representative sold her a risky and very expensive retirement policy that was unsuitable for her and did not have the flexibility that she reequested.

There are Recent Customer Complaints with Broker Jerry Romano in Firm Financial Northeastern Securities, INC.

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Romano (Romano), currently associated with Financial Northeastern Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Romano 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 $75,000.00 on September 14, 2020.

Unsuitability, misrepresentation/omission, failure to supervise, breach of fiduciary duty

There are Recent Customer Complaints with Broker Roderick Day in Firm Cabot Lodge Securities LLC

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Day (Day), previously associated with Cabot Lodge Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Day 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 $62,000.00 on September 15, 2020.

Client alleges money was misappropriated by the representative under the false pretenses of it being invested in an LLC.

Broker Joseph Leonczyk in Commonwealth Financial Network Firm Has Customer Complaint

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Leonczyk (Leonczyk), previously associated with Commonwealth Financial Network, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Leonczyk 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 $65,000.00 on September 15, 2020.

Customer alleges puchases of FS Energy and Industrial REIT were unsuitable.

Broker Lisa Waterman in Osaic Wealth, INC. Firm Has Customer Complaint

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Waterman (Waterman), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waterman 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 $500,000.00 on September 17, 2020.

Claimant alleges that the trust account was over concentrated in alternative investments

There are Recent Customer Complaints with Broker Kirk Gill in Firm Taylor Capital Management INC.

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Gill (Gill), previously associated with Taylor Capital Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Gill 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 $238,316.00 on September 17, 2020.

Clients’ attorney alleged unsuitability with respect to energy security investments – December 2013 through March 2016.

There are Recent Customer Complaints with Broker Adam Goodman in Firm LPL Financial LLC

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Goodman (Goodman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Goodman 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 $500,000.00 on September 18, 2020.

Client alleges unauthorized trading and unsuitable transactions since February 2014

There are Recent Customer Complaints with Broker Richard Prann in Firm Stonecrest Capital Markets, INC.

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Prann (Prann), currently associated with Stonecrest Capital Markets, INC., has at least one disclosable event. These events include one customer complaint, alleging that Prann 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 $25,230.00 on September 17, 2020.

Unauthorized sale of FBP on August 13, 2018.

There are Recent Customer Complaints with Broker Barry Sobel in Firm Raymond James & Associates, INC.

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Sobel (Sobel), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sobel 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 September 15, 2020.

Claimant alleges that from 2014 to 2016, DBSI made unsuitable investments in Claimant’s discretionary account. Claimant asserts several causes of action including breach of contract, unsuitability and breach of fiduciary duty.