Securities Lawyers Blog

Broker Wayne Rowlands in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Rowlands (Rowlands), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rowlands 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 $336,450.00 on May 20, 2021.

The customer alleges that a misrepresentation was made and that the Financial Advisor misappropriated funds from January 2018 until September 2019.

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

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Jonah (Jonah), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jonah 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 $400,000.00 on May 21, 2021.

Time frame: 2008 Claimant’s counsel alleges unauthorized trading in the Claimant’s account during a period where he was allegedly incapacitated.

There are Recent Customer Complaints with Broker Robert Pearlman in Firm National Securities Corporation

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Pearlman (Pearlman), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Pearlman 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 May 21, 2021.

Suitability

Broker Mark Carlson in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Carlson (Carlson), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Carlson 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 May 18, 2021.

The customer alleges unsuitable investment recommendations, misrepresentations and omission of material facts.

Broker Ronald Hoffman in Nylife Securities LLC Firm Has Customer Complaint

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Hoffman (Hoffman), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hoffman 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 May 17, 2021.

Trustee alleges the liquidation of the account was delayed and she did not authorize the March 23, 2020 sale of UIT shares, which resulted in a loss of $300,000.

Broker Barry Lemay in Concorde Investment Services, LLC Firm Has Customer Complaint

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Lemay (Lemay), previously associated with Concorde Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lemay 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 May 17, 2021.

Claim alleges negligence, breach of fiduciary duty, negligent supervision, breach of contract, and violation of Michigan Uniform Securities Act relating to a $350,000 investment made in January of 2018.

There are Recent Customer Complaints with Broker Micah Judy in Firm W & s Brokerage Services, INC.

February 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Micah Judy (Judy), previously associated with W & s Brokerage Services, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Judy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on June 01, 2021.

Respondent Judy failed to respond to FINRA request for information.

Broker Jeffrey Ford in Equitable Advisors, LLC Firm Has Customer Complaint

February 15, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2021.

Client alleges RR misrepresented the premiums of an insurance policy sold in 2020.

Broker Rachele Bonus Newman in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

February 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rachele Bonus Newman (Bonus Newman), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bonus Newman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 01, 2021.

The client alleged misrepresentation concerning the suitability.

There are Recent Customer Complaints with Broker Ross Anderson in Firm Sagepoint Financial, INC.

February 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ross Anderson (Anderson), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 June 01, 2021.

Claimants allege the representative recommended alternative investments that were unsuitable.