Securities Lawyers Blog

There are Recent Customer Complaints with Broker Chuck Roberts in Firm Stifel, Nicolaus & Company, Incorporated

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roberts 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 January 06, 2026.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Florida Securities and Investor Protection Act.

There are Recent Customer Complaints with Broker Carmen Morrone in Firm Realta Equities, INC.

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carmen Morrone (Morrone), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Morrone 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 $561,303.24 on January 13, 2026.

Claimants allege failure of due diligence and dislcosure.

Broker Robert Shepherd in LPL Financial LLC Firm Has Customer Complaint

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Shepherd (Shepherd), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shepherd 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 $1,400,000.00 on January 05, 2026.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer’s investment objectives between March 2022 through November 2022

There are Recent Customer Complaints with Broker Antonios Lee in Firm Cetera Wealth Services, LLC

March 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 05, 2026.

Client alleged that he was unaware of an account opened for him and an unauthorized investment change.

There are Recent Customer Complaints with Broker Wilmer Cordoba in Firm Centaurus Financial, INC.

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wilmer Cordoba (Cordoba), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cordoba 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 $74,340.00 on February 18, 2021.

Claimante alleges, inter alia, misrepresentation with repect to selling options in June, 2020.

Broker Zachary Bader in National Securities Corporation Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Bader (Bader), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Bader recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 18, 2021.

Respondent Bader failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Steven Light in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Light (Light), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Light recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 22, 2021.

Client alleges the representative didn’t update their risk tolerance as instructed and as a result missed out on market gains.

Broker Taylor Ripka in LPL Financial LLC Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 19, 2021.

The clients allege the investments they purchased in 2013-2019 were unsuitable, illiquid, and misrepresented to them by the representative. Additionally, the clients allege the firm failed to supervise the actions of the representative and to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Tyler Jinks in Firm Edward Jones

March 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 17, 2021.

The client alleges the financial advisor failed to advise the client that he would have an early withdrawal penalty from his EDJ IRA prior to rolling over his Fidelity 401k to EDJ.

There are Recent Customer Complaints with Broker Michael Stocksick in Firm J.P. Morgan Securities LLC

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Stocksick (Stocksick), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stocksick 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 February 17, 2021.

Allegations include that in 2015 the financial professional recommended high-commission, complex, risky alternative investments and illiquid investment products.