Securities Lawyers Blog

There are Recent Customer Complaints with Broker Guy Harrigan in Firm Lion Street Financial, LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guy Harrigan (Harrigan), previously associated with Lion Street Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harrigan 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 $325,000.00 on April 26, 2023.

Claim alleges damages related to the unsuitable sale of alternative investments.

Broker Richard Hohol in Cetera Advisor Networks LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Hohol (Hohol), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hohol 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.

Broker Robert Eisenberg in Osaic Fa, INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Eisenberg (Eisenberg), previously associated with Osaic Fa, INC., has at least one disclosable event. These events include one customer complaint, alleging that Eisenberg 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 $50,000.00 on May 10, 2023.

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

Broker Randolph Peters in LPL Financial LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randolph Peters (Peters), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peters 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 $100,000.00 on May 04, 2023.

Client alleges that annuity was misrepresented and unsuitable recommendation and sale of a variable annuity.

There are Recent Customer Complaints with Broker James Kekeris in Firm Moloney Securities Co., INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Kekeris (Kekeris), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Kekeris 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 $750,000.00 on May 02, 2023.

Suitability/negligence. 2015-2023

There are Recent Customer Complaints with Broker Merriam Rink in Firm Ausdal Financial Partners, INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Merriam Rink (Rink), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rink 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 $65,000.00 on April 24, 2023.

Unsuitable investments, Violations of Securities Laws, Breach of Fiduciary Duty.

Broker Paul Weston in Trustmont Financial Group, INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Weston (Weston), previously associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Weston 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 04, 2023.

Plaintiff states gross negligence, carelessness, recklessness, and intentional willful acts of the defendants in the loss of $100,000.00 to the account.

There are Recent Customer Complaints with Broker Stanley Smith in Firm Wells Fargo Clearing Services, LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Smith (Smith), currently associated with Wells Fargo Clearing Services, LLC, 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 $250,000.00 on April 26, 2023.

Claimant alleges his Financial Advisor (FA) recommended an investment strategy unsuitable for Claimant.

There are Recent Customer Complaints with Broker Joseph Johnson in Firm Vanderbilt Securities, LLC

September 8, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joseph Johnson (Johnson), currently associated with Vanderbilt Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Johnson concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on May 01, 2023.

Client claims unsuitable and excessive trading in brokerage account for the period of 2011-2022.

There are Recent Customer Complaints with Broker Bruce Westphal in Firm Ameriprise Financial Services, LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Westphal (Westphal), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Westphal 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 $10,832.74 on September 12, 2024.

The client alleged that the advisor informed her that she would continue her 5% increase to the benefit base of her RiverSource Roth IRA annuity, as long as she did not access funds from the annuity during a 2022 meeting.