Securities Lawyers Blog

Broker Jim Cooper in LPL Financial LLC Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 13, 2020.

Customers allege the representative made recommendations that did not meet the clients’ needs and allegedly caused losses.

Broker James Franklin in Independent Financial Group, LLC Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 16, 2020.

Claimant alleges unsuitable investment recommendations.

Broker Sumitro Pal in Morgan Stanley Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Sumitro Pal (Pal) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Pal was employed by Morgan Stanley at the time of the activity. If you have been a victim of Pal’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $75,000.00 on November 13, 2020.

Claimant alleges, inter alia, selling away with respect to investments – Oct, 2007

There are Recent Customer Complaints with Broker Joseph Mcguire in Firm American Portfolios Financial Services, INC.

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Mcguire (Mcguire), previously associated with American Portfolios Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcguire 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 $55,000.00 on November 16, 2020.

Claimant alleges that two alternative investments were unsuitable.

There are Recent Customer Complaints with Broker Stephen Mongie in Firm M Holdings Securities, INC.

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Mongie (Mongie), previously associated with M Holdings Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mongie 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 $300,000.00 on November 13, 2020.

Consumer alleges failure to timely cancel insurance policy.

Broker Mcfaddin Moise in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

Currently financial advisor Mcfaddin Moise (Moise), currently employed by brokerage firm Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 $20,000.00 on November 17, 2020.

Claimants allege their registered representative recommended one non-traded REIT purchase which was allegedly unsuitable.

Broker Brady Clar in Charles Schwab & Co., INC. Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brady Clar (Clar), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Clar 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 $14,774.00 on November 17, 2020.

Client alleges in October 2019, representative provided advice to sell Master Limited Partnerships (MLP’s) in the account which resulted in a tax liability of $14,774.

There are Recent Customer Complaints with Broker Bryant Caveness in Firm Ameriprise Financial Services, LLC

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryant Caveness (Caveness), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Caveness 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 $230,000.00 on November 17, 2020.

Claimants allege that Respondents placed them in precious metals and mining stocks, inverse and leveraged ETFs, and gold coins, and allege unsuitability, breach of fiduciary duty, and negligent supervision. Claimant seeks compensatory damages of $230,000.

Broker Robert Hoffmann in Thurston, Springer, Miller, Herd & Titak, INC. Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Hoffmann (Hoffmann), previously associated with Thurston, Springer, Miller, Herd & Titak, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoffmann 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 November 13, 2020.

Claimant alleges she purchased annuities that were unsuitable

Broker Mark Pearcy in Cetera Wealth Services, LLC Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Pearcy (Pearcy), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pearcy 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 $554,000.00 on November 13, 2020.

The complainant’s allege that the variable universal life policy sold on January 14, 1999 was misrepresented, and the representative said they could expect an annual return of 10%. The policy has since collapsed, even though their annual premiums have been paid for 20 years.