Securities Lawyers Blog

Broker Dustin Hall in J.P. Morgan Securities LLC Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Hall (Hall), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hall 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 $5,000.00 on March 29, 2023.

Customer alleges misrepresentation regarding bond mutual fund. Activity dates 12/29/22 – 12/29/22.

Broker Brian Hooks in Cambridge Investment Research, INC. Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Hooks (Hooks), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hooks 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 $750,000.00 on March 31, 2023.

Claimant alleges that the representative recommended an unsuitable investment strategy that included illiquid and complex insurance products.

There are Recent Customer Complaints with Broker David Ridenour in Firm Bok Financial Securities, INC.

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Ridenour (Ridenour), previously associated with Bok Financial Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ridenour 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 $21,000.00 on March 29, 2023.

Customer verbally complained that the financial advisor represented that her full investment would be returned after 5 years. However, the issuer declared bankruptcy and the invested funds were lost. (12/12/2014 – 3/29/2023)

Broker Robert Crocker in Nylife Securities LLC Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 28, 2023.

Customer alleges that in March 2021, she was misled into purchasing a variable annuity and a variable universal life policy which are inappropriate for her needs.

There are Recent Customer Complaints with Broker Travis Hudson in Firm LPL Enterprise, LLC

September 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2023.

Customer is alleging Breach of Fiduciary Duty.

Broker Anthony Romano in A.g.p. / Alliance Global Partners Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Romano (Romano), currently associated with A.g.p. / Alliance Global Partners, 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 $100,000.00 on March 30, 2023.

Unsuitable investments

Broker Glenn Guilbault in Cetera Advisors LLC Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2023.

Claimants allege they were recommended unsuitable investments.

Broker Efrain Trujillo in Western International Securities, INC. Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Efrain Trujillo (Trujillo), previously associated with Western International Securities, INC., has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Trujillo concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $30,750.00 on April 02, 2023.

Complaint regarding non-payment of promissory note and potential excessive trading.

Broker James Mayes in Alexander Capital, L.p. Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mayes (Mayes), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Mayes 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 March 28, 2023.

Unsuitability; Misrepresentation

There are Recent Customer Complaints with Broker Kevin Oneill in Firm Cetera Advisors LLC

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Oneill (Oneill), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oneill 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 March 30, 2023.

Misrepresentation