Securities Lawyers Blog

There are Recent Customer Complaints with Broker Ryan Haag in Firm Private Client Services, LLC

March 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 02, 2020.

Claimants allege that the registered representative recommended inappropriate investments and strategies that caused damage to the claimant’s estate.

Broker David Monckton in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Monckton (Monckton), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Monckton 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 $17,500.00 on October 28, 2020.

Claimants allege investments sold to them beginning in 2013 were unsuitable and too risky based on their desire to avoid long term, illiquid investments.

Broker Leonard Mcabee in National Securities Corporation Firm Has Customer Complaint

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leonard Mcabee (Mcabee), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcabee 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 $1,315,000.00 on October 30, 2020.

Suitability

There are Recent Customer Complaints with Broker Glenn Pahnke in Firm Raymond James & Associates, INC.

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Pahnke (Pahnke), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pahnke 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 $85,000.00 on November 01, 2020.

The clients expressed grievances that the advisor’s management of their accounts in the spring of 2020 resulted in losses.

There are Recent Customer Complaints with Broker Charles Egnatz in Firm Digital Capital Markets LLC

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Egnatz (Egnatz), previously associated with Digital Capital Markets LLC, has at least one disclosable event. These events include one customer complaint, alleging that Egnatz 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 $750,000.00 on November 01, 2020.

The investors were misled on an equity investment in hospitality, pre-Covid.

Broker Timothy Corbett in Nylife Securities LLC Firm Has Customer Complaint

March 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 30, 2020.

Customer alleges the three separate Variable Annuity policies she purchased between March 2016 and July 2016 did not accurately identify her liquid assets and net worth.

There are Recent Customer Complaints with Broker James Mccarthy in Firm Charles Schwab & Co., INC.

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mccarthy (Mccarthy), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Mccarthy 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 $13,068.94 on November 02, 2020.

Client alleges that the representative recommended and placed a limit order on an opening option order on June 2, 2020, which the client claims caused him (the client) to place limit orders for multiple closing orders, for the same option, when the client placed orders himself online on June 3, 2020.

There are Recent Customer Complaints with Broker Robert Blake in Firm Cambridge Investment Research, INC.

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Blake (Blake), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Blake 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 November 02, 2020.

SOC alleges sale of unsuitable investments.

There are Recent Customer Complaints with Broker Katherine Markowski in Firm Osaic Wealth, INC.

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katherine Markowski (Markowski), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Markowski 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 $44,000.00 on November 06, 2020.

Customer alleges the representative made a recommendation that did not meet the clients’ needs and allegedly caused losses.

Broker Christopher Phillips in RBC Capital Markets, LLC Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Phillips (Phillips), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Phillips 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 $367,452.00 on November 06, 2020.

The claimant alleged he suffered a net loss of more than 65% of his Employee Pension IRA Account value due to the FA’s failure to properly diversify the account and by their discretionary purchase of single company stocks almost all in oil and gas or energy sectors that were not appropriate for the client’s objectives or risk tolerance.