Securities Lawyers Blog

There are Recent Customer Complaints with Broker Mark Graham in Firm Wells Fargo Clearing Services, LLC

December 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 24, 2022.

Customer complained that instruction to telephone customer upon receipt of securities was not followed, resulting in lost market proceeds. (1/6/2022-1/24/2022)

Broker Olin Wiley in Verity Investments, INC. Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Olin Wiley (Wiley), previously associated with Verity Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wiley 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 $149,828.17 on January 18, 2022.

Unauthorized liquidation of [REDACTED] individual brokerage account in January 2016.

Broker Jerry Tuma in Independent Financial Group, LLC Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Tuma (Tuma), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tuma 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 $200,000.00 on January 21, 2022.

Claims investment was not suitable and was not in line with stated objectives.

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

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Silverman (Silverman), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Silverman 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 $9,880.66 on January 20, 2022.

Client alleges trades were placed without approval.

Broker Samvel Shakhramanov in Edward Jones Firm Has Customer Complaint

December 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2022.

Client alleges consent was not given for trades placed in her account when the funds came in and was unaware this would occur once the funds arrived in the account.

Broker Jonathan Kimbrough in Charles Schwab & Co., INC. Firm Has Customer Complaint

December 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Kimbrough (Kimbrough), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Kimbrough 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 $17,283.00 on January 31, 2022.

The client alleges that instructions to invest his account were not followed.

Broker Bradley Lange in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

December 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 31, 2022.

Customer alleges that, as told, this investment had a penalty of about $2,000.00 or if was withdraw before maturity, but it was not subject to any loss of values from the market.

There are Recent Customer Complaints with Broker Robert Lasher in Firm LPL Financial LLC

December 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lasher (Lasher), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lasher 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 $45,000.00 on January 31, 2022.

Customer alleges that an investment made in June 2014 was inappropriate for the customer’s investment objectives and risk tolerance, and that representative made alleged misrepresentations concerning the investment.

Broker Matthew Biedron in J.P. Morgan Securities LLC Firm Has Customer Complaint

December 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 31, 2022.

The client alleged the advisor made a blatant mistake that caused a financial loss. The activity occurred on January 31, 2022.

There are Recent Customer Complaints with Broker Ryan Osborn in Firm LPL Financial LLC

December 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Osborn (Osborn), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Osborn 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 $31,380.00 on January 28, 2022.

Customer alleges requested purchase of note did not occur.