Securities Lawyers Blog

There are Recent Customer Complaints with Broker Robert Smith in Firm First Command Brokerage Services, INC.

November 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Smith (Smith), currently associated with First Command Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $700,000.00 on May 03, 2022.

Customer initiated a FINRA arbitration proceeding claiming damages of $700,000 plus punitive fees, etc. The customer alleges that First Command failed to comply with its fiduciary duty, Reg BI, FINRA rules, and its duty to supervise and identify obvious signs of elder exploitation when making a recommendation to the customer to move his assets from his long-term mutual fund holdings to managed accounts, resulting in a large potential capital gains tax consequence.

There are Recent Customer Complaints with Broker Roman Petryszyn in Firm Innovation Partners LLC

November 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 29, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Peter Bryan in Osaic Wealth, INC. Firm Has Customer Complaint

November 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 29, 2022.

Claimants allege the RR recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Eddie Espinoza in Firm PFS Investments INC.

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eddie Espinoza (Espinoza), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Espinoza 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 $1,824.00 on May 13, 2022.

Complaint alleged that Espinoza collected premiums from clients, but was not applying the funds to the premiums.

Broker Paul Burton in Edward Jones Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 09, 2022.

The client alleges that the financial advisor did not invest their funds in a portfolio aligned with their risk tolerance.

Broker Jeremy Bouwman in Edward Jones Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Bouwman (Bouwman), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bouwman 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 $72,160.62 on May 13, 2022.

The client alleges the financial advisor’s advice to take funds from a home loan to invest in the market was not suitable.

There are Recent Customer Complaints with Broker Panagiotis Ermogenous in Firm Santander Securities LLC

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Panagiotis Ermogenous (Ermogenous), currently associated with Santander Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ermogenous 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 $60,000.00 on May 09, 2022.

Client alleged poor performance.

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

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Crowley (Crowley), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Crowley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 11, 2022.

Client alleges registered representative failed to follow his instruction on March 30, 2016.

There are Recent Customer Complaints with Broker James Dickerson in Firm Edward Jones

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Dickerson (Dickerson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Dickerson 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 $548,585.00 on May 10, 2022.

The client alleges the financial advisor did not mention the potential tax implications of transferring assets into her Edward Jones Advisory Solutions account . The client also alleges the financial advisor did not act in her best interests in failing to inform her of potential tax implications of the transfer and liquidation of assets.

Broker Matthew Clason in LPL Financial LLC Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 09, 2022.

Claimant alleges the RR recommended an unsuitable Real Estate Investment Trust (REIT) investment.