Securities Lawyers Blog

There are Recent Customer Complaints with Broker John Barrett in Firm Emerson Equity LLC

February 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 25, 2025.

Compensatory damages; breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of California Corporation Code Section 25401 and 25501 and federal securities laws and violation of Regulation Best Interest

Broker Gihan Fernando in Cetera Investment Services LLC Firm Has Customer Complaint

February 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gihan Fernando (Fernando), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fernando 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 $67,000.00 on December 05, 2025.

Complainant alleges certain features of the product were misrepresented on or around February 2016.

There are Recent Customer Complaints with Broker Mario Sclafani in Firm LPL Enterprise, LLC

February 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Sclafani (Sclafani), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sclafani 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 $5,068.00 on December 02, 2025.

Customer alleges she was provided with the incorrect free look period on her annuity.

There are Recent Customer Complaints with Broker Eric Kleiner in Firm Morgan Stanley

February 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 05, 2025.

Claimants allege, inter alia, that FA recommended investment in an outside investment security that was not authorized by MS \\u2013 August 2018 to March 2025

Broker Brian Watson in Valmark Securities, INC. Firm Has Customer Complaint

February 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Watson (Watson), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Watson 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 $100,000,000.00 on November 25, 2025.

Breach of Fiduciary Duty, Negligent Misrepresentation, Gross Negligence, and Unjust Enrichment

There are Recent Customer Complaints with Broker Joseph Lascala in Firm Aegis Capital Corp.

February 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Lascala (Lascala), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Lascala 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 $200,000.00 on December 03, 2025.

Time frame: November 2019. Claimants allege breach of fiduciary duty.

Broker Lawrence Widener in Edward Jones Firm Has Customer Complaint

February 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 01, 2025.

Client alleges their financial advisor executed trades in several accounts without authority.

There are Recent Customer Complaints with Broker Shimshon Plotkin in Firm Independent Financial Group, LLC

February 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shimshon Plotkin (Plotkin), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Plotkin 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 November 26, 2025.

Alleges investment was unsuitable

There are Recent Customer Complaints with Broker William Olinger in Firm Valmark Securities, INC.

February 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Olinger (Olinger), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Olinger 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 $100,000,000.00 on November 25, 2025.

Breach of Fiduciary Duty, Fraud, Civil Theft, Fraudulent Inducement, Gross Negligence, Negligent Misrepresentation, Unjust Enrichment, and Elder Financial Abuse

Broker Kevin Mccallum in LPL Financial LLC Firm Has Customer Complaint

February 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Mccallum (Mccallum), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccallum 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 $378,000.00 on November 25, 2025.

Customers allege recommended unsuitable investments in Medley Capital Corporation that between 2015 and 2019.