Securities Lawyers Blog

Broker Jeffrey Diamond in J.P. Morgan Securities LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Diamond (Diamond), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Diamond 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 $185,549.38 on June 02, 2021.

Claimant, as representative, alleges unsuitable mutual fund recommendations. Activity Dates: 1/12/2018 – 2/8/2018.

There are Recent Customer Complaints with Broker Les Barber in Firm Osaic Wealth, INC.

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Les Barber (Barber), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barber 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 $1,000,000.00 on June 10, 2021.

Claimant alleges the representative recommended an investment that was unsuitable.

Broker Laurence Iannarelli in LPL Financial LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Laurence Iannarelli (Iannarelli), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Iannarelli 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 $250,000.00 on June 11, 2021.

Claimant alleges the representative recommended alternative investments that were unsuitable.

Broker Mark Gardner in Nylife Securities LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2021.

Customer alleges that from February 2010 though March 2018, the recommendation to purchase 4 variable annuities was not an appropriate investment strategy. Customer is seeking the waiver of all charges and fees associated with the surrender of the annuities.

There are Recent Customer Complaints with Broker Richard Demetriou in Firm Titan Securities

February 14, 2026 | by Staff Attorney

Previously financial advisor Richard Demetriou (Demetriou), previously employed by brokerage firm Titan Securities 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 on June 09, 2021.

Overconcentration in REITs

Broker Henry Goodman in Herbert J. Sims & Co, INC. Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Goodman (Goodman), previously associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goodman 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 $543,000.00 on June 04, 2021.

Suitability and unauthorized trading

Broker Theodore Manly in W & s Brokerage Services, INC. Firm Has Customer Complaint

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Manly (Manly), currently associated with W & s Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Manly 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 $5,032.00 on June 15, 2021.

Customer alleges that he was misled when he was assured that the liquidation of his mutual fund shares to purchase a variable annuity in December 2020 would not create a taxable event. Client seeks reimbursement of accountant fees and taxes paid.

There are Recent Customer Complaints with Broker Alan Morris in Firm Calton & Associates, INC.

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Morris (Morris), previously associated with Calton & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Morris 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 June 15, 2021.

The customer alleges that a transaction in an alternative product was a poor recommendation.

There are Recent Customer Complaints with Broker Tran Luong in Firm LPL Enterprise, LLC

February 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $19,000.00 on June 14, 2021.

Customer Alleges misappropriation and misrepresentation via non-genuine signatures.

Broker Stephen Allex in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Allex (Allex), previously associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Allex 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 June 18, 2021.

Claimant alleges former registered representative recommended unsuitable investments.