Securities Lawyers Blog

There are Recent Customer Complaints with Broker Dennis Oleszkowicz in Firm UBS Financial Services INC.

December 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Oleszkowicz (Oleszkowicz), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Oleszkowicz 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 February 02, 2022.

Allegations as stated by Claimant: Time frame: 9/2020 – 1/2021\, \, Allegations: \, Claimants allege that, contrary to the instructions of the Successor Trustee, funds in the inherited accounts were placed into a regular investment account rather than into an Inherited IRA account. Claimants allege they relied upon the Firm to ensure that documentation provided would be consistent with the objective of setting up an Inherited IRA account and deferring taxation on the funds as permitted under the tax code, and due to alleged breaches of fiduciary duty, negligence, negligent misrepresentation, suitability, Reg. BI, and violations of the Michigan Uniform Securities Act (“MUSA”) MCL 451.2509, they suffered damages of approximately $200,000.

There are Recent Customer Complaints with Broker Wayne Trahms in Firm LPL Financial LLC

December 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Trahms (Trahms), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Trahms 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 $25,327.00 on February 01, 2022.

On 2/1/2022 client asked that Gazprom stock be sold. The sale was not completed. On 2/22/2022 the client learned that the stock had not been sold and the price of Gazprom dropped. The representative wanted to see if the price of Gazprom came back. On 2/28/2022 the price of Gazprom dropped again. The client was very upset. Shortly after that date, Gazprom stock was removed from client’s account by federal government due to Russian invasion of Ukraine.

There are Recent Customer Complaints with Broker Esmeralda Steele in Firm Silver Oak Securities, Incorporated

December 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $15,000.00 on March 29, 2022.

Allegations related to sale of Index Universal Life insurance conducted as an Outside Business Activity in March 2017. “Mr. Steele recommended and provided investment advice to Plaintiff to invest his assets in large, unsuitable, and highly complex product as an investment strategy to generate retirement income.”

There are Recent Customer Complaints with Broker Jasen Agee in Firm Edward Jones

December 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jasen Agee (Agee), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Agee 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 $20,000.00 on March 25, 2022.

The client alleges the financial advisor’s advice to move from a Guided Solutions – Flex account to an Advisory Solutions account was negligent and resulted in a tremendous tax liability.

Broker Christopher Kane in Ceros Financial Services, INC. Firm Has Customer Complaint

December 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kane (Kane), currently associated with Ceros Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kane 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 $950,000.00 on March 25, 2022.

Client alleges unsuitability and over concentration from 2011-2021

There are Recent Customer Complaints with Broker Frank Stuart in Firm LPL Financial LLC

December 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 28, 2022.

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

There are Recent Customer Complaints with Broker William Ferrara in Firm Nylife Securities LLC

December 23, 2025 | by Staff Attorney

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

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

Customer alleges that the signature contained on some of his account documentation on file for his policy is not his signature. The policy in question is a Variable Annuity policy that was purchased by the customer in February 2015.

There are Recent Customer Complaints with Broker Andrew Day in Firm Kovack Securities INC.

December 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 28, 2022.

Claimant alleges that his 1031 exchange was unsuitable.

There are Recent Customer Complaints with Broker Bernard Lherisson in Firm A.g.p. / Alliance Global Partners

December 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bernard Lherisson (Lherisson), previously associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Lherisson 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 March 25, 2022.

Unsuitable investment, breach of fiduciary duty, failure to supervise during period from 2013 to 2015.

There are Recent Customer Complaints with Broker Rainey Rogers in Firm Kestra Investment Services, LLC

December 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 16, 2023.

The Guardian for the client alleged the additional premiums to the VA contract in 2021 were unsuitable for the client’s age.