Securities Lawyers Blog

There are Recent Customer Complaints with Broker Marybeth Martin in Firm HSBC Securities (usa) INC.

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marybeth Martin (Martin), previously associated with HSBC Securities (usa) INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 21, 2021.

Claimant alleges the financial professional recommended she invest in a reit unsuitable for her investment portfolio.

Broker Kurt Owen in UBS Financial Services INC. Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 24, 2021.

Time Frame: June 18, 2021 \, The client alleges the FA misrepresented that his option would expire worthless as it was actually exercised and there was no action required. The alleged damages were estimated to be in excess of $5,000.00

There are Recent Customer Complaints with Broker Robert Tornincaso in Firm LPL Financial LLC

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Tornincaso (Tornincaso), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tornincaso 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 28, 2021.

Claimant alleges unsuitable investment recommendations and inadequate supervision and due diligence from 01/2014 through 06/2021

There are Recent Customer Complaints with Broker Timothy Harris in Firm Ameriprise Financial Services, INC.

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Harris (Harris), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Harris 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 $40,000.00 on June 26, 2021.

Claimants allege unsuitable recommendation of HTI in September 2014.

There are Recent Customer Complaints with Broker John Rice in Firm Independent Financial Group, LLC

February 12, 2026 | by Staff Attorney

Previously financial advisor John Rice (Rice), previously employed by brokerage firm Independent Financial Group, LLC 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 with a damage request of $250,000.00 on June 21, 2021.

Allege investment in non-traded REITs was not suitable

There are Recent Customer Complaints with Broker Larry Pence in Firm Cetera Advisors LLC

February 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2021.

Claimant alleges that the registered representative recommended unsuitable investments.

Broker Christopher Chancellor in Newbridge Securities Corporation Firm Has Customer Complaint

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Chancellor (Chancellor), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Chancellor 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 $125,000.00 on July 01, 2021.

Respondents made unsuitable recommendations to Claimant.

There are Recent Customer Complaints with Broker Ashley Bolson in Firm Cfd Investments, INC.

February 11, 2026 | by Staff Attorney

Previously financial advisor Ashley Bolson (Bolson), previously employed by brokerage firm Cfd Investments, INC. 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 with a damage request of $2,658,320.00 on June 29, 2021.

The complaint alleges several activities in relation to the sale of private placement investments that were sold away from CFD Investments, Inc. The allegations include the following: Fraud and non-disclosure, Negligent Misrepresentation, Breach of Fiduciary Duty; Negligence, Breach of Contract; Failure to Supervise/Respondeat Superior; and Violations of the Iowa Securities Act.

There are Recent Customer Complaints with Broker John Simpson in Firm J.P. Morgan Securities LLC

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Simpson (Simpson), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simpson 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 $130,000.00 on July 01, 2021.

Clients alleges that alternative investments were misrepresented.

There are Recent Customer Complaints with Broker Sean Westbrook in Firm Stifel, Nicolaus & Company, Incorporated

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Westbrook (Westbrook), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Westbrook 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 July 01, 2021.

Claimant alleges the representative recommended alternative investments that were unsuitable.