Securities Lawyers Blog

Broker Gregory Iglow in Oppenheimer & CO. INC. Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Iglow (Iglow), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Iglow 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 $231,826.00 on March 29, 2023.

Claimants allege Negligence/Unsuitability, Violations of California Securities Law, Violations of FINRA Rules & Federal Securities Laws, Breach of Contract, Negligent Supervision, Respondent Superior, and Breach of Contract based on misrepresentations and omissions in connection with purchases of Capital Trust Agency Florida Senior Living Bonds in 2019 and 2020

There are Recent Customer Complaints with Broker Lynn Nicholson in Firm Pruco Securities, LLC.

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lynn Nicholson (Nicholson), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Nicholson 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.

Customer is alleging Breach of Fiduciary Duty.

There are Recent Customer Complaints with Broker Gregory Randall in Firm U.S. Brokerage, INC.

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Randall (Randall), currently associated with U.S. Brokerage, INC., has at least one disclosable event. These events include one customer complaint, alleging that Randall 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 $11,000.00 on April 01, 2023.

Customer, [REDACTED], had POA over mother’s account ([REDCATED]) and requested account liquidated (1 stock). Due to delay in receiving legal documents because of US Brokerage email issues and unforeseen family medical issues with my mother her instructions were delayed being executed because of my inaction. DEC 22 1st contact, Mar 23 STOCK SOLD AND CHECK CUT. Micron Stock declined in value approx $11k. Reached settlement with POA [REDACTED] for $10,000 MAY 24

Broker Clifford Virgin Iii in RBC Capital Markets, LLC Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clifford Virgin Iii (Virgin Iii), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Virgin Iii 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 $50,000.00 on March 30, 2023.

Time frame: 2019-2021 Allegations: Claimant alleges unsuitability of certain investments and that such investments resulted in principal losses

Broker Davie Ambrose in PFS Investments INC. Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Davie Ambrose (Ambrose), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Ambrose 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 $300,000.00 on April 02, 2023.

Customer alleges that mr. Ambrose invested customer’s funds in products without clients understanding or direction.

There are Recent Customer Complaints with Broker Michael Sherrill in Firm Morgan Stanley

September 13, 2025 | by Staff Attorney

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

Claimants allege, inter alia, unsuitability with respect to managed account – 2019 to 2022

There are Recent Customer Complaints with Broker Cathie Joughin in Firm Ameriprise Financial Services, LLC

September 13, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Cathie Joughin (Joughin) 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 Joughin was employed by Ameriprise Financial Services, LLC at the time of the activity. If you have been a victim of Joughin’s alleged misconduct our firm may be able to assist you in recovering funds.

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

Claimant alleges that on or about late 2019 and early 2020, his father fell victim to elder abuse and misappropriation by his Financial Advisor (FA).

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

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Ryall (Ryall), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ryall 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.

Clients allege financial advisor recommended an unsuitable investment strategy and misrepresented the risks associated with it.

There are Recent Customer Complaints with Broker Craig Zimmerman in Firm U.S. Bancorp Investments, INC.

September 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $700,000.00 on April 06, 2023.

Claimant alleged that RR recommended an unsuitable investment strategy and did not disclose all materials facts associated with the strategy.

Broker Thomas Tippmann in Nylife Securities LLC Firm Has Customer Complaint

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Tippmann (Tippmann), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tippmann 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 $3,860.59 on April 03, 2023.

The customer alleges she did not sign the policy illustration revision or policy delivery receipt for her whole life insurance policy that she purchased in or around February 2019.