Securities Lawyers Blog

There are Recent Customer Complaints with Broker Curtis Howard in Firm LPL Financial LLC

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Howard (Howard), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Howard 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 $5,015.00 on June 04, 2020.

Customer alleges failure to follow instructions. Activity period: 2/12/20 to 6/4/20.

Broker William Thon in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Thon (Thon), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Thon 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 05, 2020.

The Customer alleges unsuitable investment recommendations and misrepresentation.

Broker Edward Colley in PFS Investments INC. Firm Has Customer Complaint

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Colley (Colley), currently associated with PFS Investments INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Colley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.

Customer alleged that i failed to follow his instructions regarding the transfer-in-kind of his investments.

There are Recent Customer Complaints with Broker Edgar Mock in Firm Trustmont Financial Group, INC.

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edgar Mock (Mock), currently associated with Trustmont Financial Group, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mock 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 $375,717.00 on June 02, 2020.

2012- June 2017, alleged unsuitable securities, common law fraud, breach of fiduciary duty, unjust enrichment, the failure to supervise, and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law

There are Recent Customer Complaints with Broker Christopher Monahan in Firm RBC Capital Markets, LLC

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Monahan (Monahan), previously associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Monahan 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 04, 2020.

Claimants maintained investments with the Financial Advisor. The Financial Advisor understood that the claimants did not want to take unnecessary risks with their savings. RBC recommended high risk, concentrated investments in Puerto Rico bonds. Mr. Monahan described the investments as safe income producing vehicles. As a result, the claimants suffered principal losses.

Broker Doyle Brown in Cambridge Investment Research, INC. Firm Has Customer Complaint

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Doyle Brown (Brown), currently associated with Cambridge Investment Research, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Brown 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 $31,500.00 on June 04, 2020.

Customer alleged 2018 mutual fund purchase was misrepresented.

There are Recent Customer Complaints with Broker Matthew Denman in Firm Edward Jones

August 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Denman (Denman), previously associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Denman 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 $52,000.00 on June 11, 2020.

Client alleges that investing $250,000.00 in a single fund (JP Morgan Income Builder Fund) was too aggressive for her risk tolerance and she lost $52,000.00 as a result.

Broker Samuel Mandan in Raymond James Financial Services, INC. Firm Has Customer Complaint

August 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Mandan (Mandan), previously associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mandan 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 09, 2020.

Client alleges equity liquidations placed in June 2019 were not suitable.

There are Recent Customer Complaints with Broker Nico Sharp in Firm Citigroup Global Markets INC.

August 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nico Sharp (Sharp), previously associated with Citigroup Global Markets INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sharp 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 08, 2020.

Claimant alleges that between June 2017 and May 2018, financial advisor Nico Raphael Sharp invested over $1 million on behalf of the Trust in Chronos Capital Partners, LLC, a company Mr. Sharp co-founded, without disclosing his connection to the company. Claimant further alleges unsuitability, fraud, and breach of fiduciary duty against Mr. Sharp, who left the employ of CGMI on April 25, 2018, in connection with investment in Chronos.

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

August 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Longo (Longo), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Longo 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, 2020.

Customer alleges unsuitable investment recommendation in January 2020.