Securities Lawyers Blog

There are Recent Customer Complaints with Broker Linda Howard in Firm LPL Financial LLC

March 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 14, 2020.

Attorney for the executor of the client’s estate alleges the rr engaged is false and misleading conduct with former poa agent in relation to opening an account in the client’s name, allowed the agent to designate beneficiaries other than the estate, and conspired with the agent to deplete the assets of the estate. Time period of the activity is from March 2018 through December 2019.

Broker Cheryl Marquez in LPL Financial LLC Firm Has Customer Complaint

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cheryl Marquez (Marquez), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marquez 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 $119,594.09 on September 17, 2020.

Clients, through attorney, allege that the rr did not follow explicit instructions to sell and failed to inform them about the status of their investment resulting in a loss in their account.

Broker Steven Colacurcio in Dawson James Securities, INC. Firm Has Customer Complaint

March 30, 2026 | by Staff Attorney

Previously financial advisor Steven Colacurcio (Colacurcio), previously employed by brokerage firm Dawson James Securities, 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 $35,000.00 on September 17, 2020.

From 9/18/2015 – 9/18/2015 customer alleged that the rep failed to explain the risks and fees associated with the purchase of 2 REITs.

Broker Gerard Melley in UBS Financial Services INC. Firm Has Customer Complaint

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerard Melley (Melley), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Melley 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 $300,000.00 on September 17, 2020.

Time frame: 2013 – present\<char_lb_r>\, Claimant’s counsel alleges unsuitability and mismanagement with respect to recommendations and handling of accounts.

There are Recent Customer Complaints with Broker Barry Richter 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 Richter (Richter), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Richter 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 $350,000.00 on September 18, 2020.

Client alleges FA failed to properly invest claimants funds in accordance with her risk and objectives. Allegation Activity Dates: 8/5/2011 to Present.

There are Recent Customer Complaints with Broker Scott Sideras in Firm D.a. Davidson & CO.

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Sideras (Sideras), previously associated with D.a. Davidson & CO., has at least one disclosable event. These events include one customer complaint, alleging that Sideras 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 $10,962.62 on September 18, 2020.

Client alleged misrepresentation when municipal bond matured for less than par value. From 05/22/2018 to 07/24/2020.

There are Recent Customer Complaints with Broker John Tarpinian in Firm Paulson Investment Company LLC

March 30, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker John Tarpinian (Tarpinian), previously employed by Paulson Investment Company LLC has been subject to at least 4 disclosable events. These events include 4 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), Tarpinian’s most recent customer complaint alleges that Tarpinian recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $342,852.00 on September 16, 2020.

The Claimant’s allege that Mr. Tarpinian made unsuitable recommendations to purchase structured notes.

Broker Dennis Cirbo in Madison Avenue 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 Dennis Cirbo (Cirbo), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cirbo 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 $155,000.00 on September 17, 2020.

Unsuitable recommendation of GPB Automotive

Broker Brandon Whaley in LPL Enterprise, LLC Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Whaley (Whaley), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whaley 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 $20,000.00 on September 20, 2020.

Client alleges misrepresentation regarding managed account investment. Activity dates 09/02/2020-09/02/2020.

There are Recent Customer Complaints with Broker David Llewellyn in Firm Cambridge Investment Research, INC.

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Llewellyn (Llewellyn), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Llewellyn 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 $216,000.00 on September 19, 2020.

Client alleges misrepresentation and unsuitable investment.