Securities Lawyers Blog

There are Recent Customer Complaints with Broker Kenneth Maring in Firm Morgan Stanley

February 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Maring (Maring), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Maring 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 $500,000.00 on June 04, 2025.

Brokers are required to adhere to the SEC’s Regulation Best Interest (Reg BI) standard of care under the Securities Exchange Act of 1934 which establishes a ‘best interest’ standard for broker-dealers and associated persons. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts.

There are Recent Customer Complaints with Broker Roy Williams in Firm Kcd Financial, INC.

February 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Williams (Williams), currently associated with Kcd Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 July 29, 2025.

Sold an unsuitable product and he misstated the financial condition of the investments.

There are Recent Customer Complaints with Broker Samir Asaf in Firm Finalis Securities LLC

February 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samir Asaf (Asaf), currently associated with Finalis Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Asaf 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 $79,000.00 on September 23, 2025.

Allegation is that Regent Financial and Samir Asaf did not put best efforts and misled Creation Capital that the capital can be raised. Events include signing of a &#39;best-efforts&#39; engagement agreement signed on Oct 3, 2024. Creation Capital paid Regent a &#39;non-refundable&#39; $50K DD fee. During Oct 2024-Jan 2025, Regent prepared a 170 page CIM, 2 separate institutional grade financial models, reached out to several hundred investors; referred Creation Capital to law farm &#39;Doida Crow&#39; for preparation of the PPM, arranged 4 investor calls which were held. Investors asked for additional information from Creation Capital which they were unable to satisfactorily submit. None of the investors were willing to commit capital after speaking to [REDACTED] and [REDACTED] of Creation Capital. While Regent was continuing its efforts to secure additional investors, Creation Capital terminated the mandate. 6 months after terminating the mandate, they filed with FINRA for $79K in compensation.

There are Recent Customer Complaints with Broker Robert Lybbert in Firm Edward Jones

February 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lybbert (Lybbert), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Lybbert 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 $103,000,000.00 on October 29, 2025.

The Claimants assert multiple causes of action, including breach of fiduciary duty, negligence, negligent misrepresentation, as well as violations of the Investment Advisers Act of 1940, Washington’s Securities Act and Blue-Sky laws, Washington’s Consumer Protection Act (RCW 19.86), unlawful sale of securities (RCW21.20.140), voidable real-property transactions (RCW 19.40). The Claimants further allege fraud, unjust enrichment, breach of contract and vicarious liability.

Broker Peyton Ethridge in Patrick Capital Markets, LLC Firm Has Customer Complaint

February 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 12, 2025.

Claimants were introduced to Representative from Claimants’ CPA/tax adviser. CPA requested Representative registered with Respondent provide information on particular investment strategy to Claimants. Claimants allege that Representative and/or Respondent made unsuitable recommendations, made materially false statements to Claimants, breach of contract, breach of fiduciary duty, negligence, and negligent supervision by Respondent. No specific offerings or named products in which Claimants experienced losses were identified in the claim, nor were any damages specified.

There are Recent Customer Complaints with Broker Devlin Dwyer in Firm Patrick Capital Markets, LLC

February 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 12, 2025.

Claimants were introduced to Representative from Claimants’ CPA/tax adviser. CPA requested Representative registered with Respondent provide information on particular investment strategy to Claimants. Claimants allege that Representative and/or Respondent made unsuitable recommendations, made materially false statements to Claimants, breach of contract, breach of fiduciary duty, negligence, and negligent supervision by Respondent. No specific offerings or named products in which Claimants experienced losses were identified in the claim, nor were any damages specified.

Broker Mark Creason in Metric Financial, LLC Firm Has Customer Complaint

February 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 10, 2025.

Breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of Best Interest Obligations

There are Recent Customer Complaints with Broker Ryan Finch in Firm Emerson Equity LLC

February 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 11, 2025.

Breach of fiduciary duty; negligence; and violation of Regulation BI

Broker Elio Rey in Truist Investment Services, INC. Firm Has Customer Complaint

February 9, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Elio Rey (Rey), currently employed by Truist Investment Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Rey’s most recent customer complaint alleges that Rey recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint on October 14, 2025.

Client alleged that prior to selling him a structured product linked to gold and silver, the FA did not educate him on the liquidity risk. Moreover, client indicated he requested to invest in gold and silver and not a structured note.

Broker Thomas Underwood in Cary Street Partners Firm Has Customer Complaint

February 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Underwood (Underwood), previously associated with Cary Street Partners, has at least one disclosable event. These events include one customer complaint, alleging that Underwood 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 $1,875,581.20 on October 08, 2025.

Investment losses from aggressive trading including options, during the period June 2023 through May 2024.