Securities Lawyers Blog

There are Recent Customer Complaints with Broker Marisol Colomer in Firm UBS Financial Services INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marisol Colomer (Colomer), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Colomer 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 $11,000.00 on May 14, 2023.

Time Frame: March 6th, 2023 to May 11th, 2023\, \, The client alleges a failure to follow instructions as his money was not invested in the correct account.

Broker Nicholas Brown in Osaic Wealth, INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Brown (Brown), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, 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 $45,000.00 on April 28, 2023.

Client alleged FA took unnecessary risk with portfolio and were felt they were left with no choice but to liquidate portfolio at a time when the account was down which resulted is locking in a loss.

There are Recent Customer Complaints with Broker Susan Duke in Firm Transamerica Financial Advisors, Inc

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Duke (Duke), previously associated with Transamerica Financial Advisors, Inc, has at least one disclosable event. These events include one customer complaint, alleging that Duke 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 $25,000.00 on April 24, 2023.

Claimants allege they were placed in risky speculative investments that were unsuitable for their investment portfolios.

There are Recent Customer Complaints with Broker Daniel Steiner in Firm Dempsey Lord Smith, LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Steiner (Steiner), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Steiner 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 May 10, 2023.

Claimants allege the rr recommended an unsuitable oil & gas investment

Broker Jonathan Prestridge in Cetera Wealth Services, LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Prestridge (Prestridge), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Prestridge 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 May 02, 2023.

Client alleges that registered representative misrepresented third party managed program, resulting in $200,000 in damages.

There are Recent Customer Complaints with Broker Shaun Grimaldi in Firm Garden State Securities, INC.

September 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $4,000,000.00 on May 09, 2023.

Allegations per arbitration filing.

Broker Kevin Duffy in Raymond James & Associates, INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Duffy (Duffy), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duffy 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 $363,600.00 on April 27, 2023.

Client alleges FA neglected fiduciary responsibilities when recommending investments. Allegation Activity Dates: 1/9/2019 – 1/18/2023.

Broker Nick Therrien in PFS Investments INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nick Therrien (Therrien), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Therrien 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 $500,000.00 on April 26, 2023.

Claimants allege mr. Therrien made unsuitable recommendations and investments in claimant’s pfsi accounts.

Broker William Loberg in Cetera Wealth Services, LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 02, 2023.

Customer alleges unsuitable investment recommendations which resulted in losses.

There are Recent Customer Complaints with Broker Jason Cook in Firm Berthel, Fisher & Company Financial Services, INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Cook (Cook), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cook 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, 2023.

The claimant alleged the investments purchased from 2010-2017 were unsuitable and misrepresented to him by the representative. The claimant alleged the firm failed to conduct due diligence on the investments and failed to supervise the representative’s activities.