Securities Lawyers Blog

Broker Yu Chin Chen in Citigroup Global Markets INC. Firm Has Customer Complaint

December 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 09, 2022.

Claimant alleges unsuitable investment recommendations.

There are Recent Customer Complaints with Broker David Lademan in Firm LPL Financial LLC

December 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lademan (Lademan), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lademan 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 $500,000.00 on February 14, 2022.

Breach of Fiduciary Duty, unsuitible investments, negligent supervion, breach of contract

There are Recent Customer Complaints with Broker Edward Lubell in Firm UBS Financial Services INC.

December 8, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Edward Lubell (Lubell), currently employed by UBS Financial 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), Lubell’s most recent customer complaint alleges that Lubell 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 with a damage request of $99,000.00 on February 09, 2022.

Time frame: January 2012 -January 2022 \, \, Allegations: Claimant alleges UBS recommended unsuitable and esoteric structured products and notes without adequate warnings and details.

Broker Robert Brinckerhoff in Morgan Stanley Firm Has Customer Complaint

December 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 14, 2022.

Claimant alleges, inter alia, misrepresentation with respect to annuity investment – 2015 to 2018

Broker Curtis Miller in Edward Jones Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 18, 2022.

The client alleges the advice the financial advisor gave to surrender two variable annuities has caused unexpected tax implications and was not in her best interest.

There are Recent Customer Complaints with Broker Steven Greer in Firm G.f. Investment Services, LLC

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Greer (Greer), previously associated with G.f. Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Greer 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 $25,000.00 on February 24, 2022.

Plaintiffs filed complaint alleging violations of the North Carolina Securities Act and North Carolina General Statutes, breach of fiduciary duty, fraud and negligence in connection with allegedly unsuitable recommendations of alternative investments and fixed index annuities between 2012 and 2015. Mr. Greer was specifically named as participating in the recommendations to 5 of the Plaintiffs.

Broker Jonathan White in LPL Financial LLC Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan White (White), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that White 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 $178,909.16 on February 22, 2022.

Claimant alleges that her advisor sold her an unsuitable portfolio of mutual funds in her advisory account. Time period 3/3/2021 to 3/14/2022.

There are Recent Customer Complaints with Broker Doris Lau in Firm Cetera Investment Services LLC

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Doris Lau (Lau), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lau 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, 2022.

Client alleges she was not aware of the risks of the product.

There are Recent Customer Complaints with Broker Daniel Spoust in Firm Andrew Garrett INC.

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Spoust (Spoust), previously associated with Andrew Garrett INC., has at least one disclosable event. These events include one customer complaint, alleging that Spoust 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 $185,000.00 on February 23, 2022.

Improper and unsuitable trades

There are Recent Customer Complaints with Broker William Fielder in Firm Allstate Financial Services, LLC

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Fielder (Fielder), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fielder 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 $60,000.00 on February 22, 2022.

Surviving Spouse ([REDACTED]) and Beneficiary of Customer [REDACTED], now deceased, has expressed verbal concerns to current representative after receiving an IRS letter stating taxes and penalties of approximately $60k are due with regard to a NQ Prudential VA purchased 10/2019 with the help of former EFS Rick Fielder. [REDACTED] alleges Mr. Fielder told he and his wife there would be no taxes due regarding a liquidation and sale ($280,000) of stock in 2019 to fund the VA, along with a personal check of $100,000 and has further stated they would have never gone through with the transaction had they known they would be taxed. [REDACTED] has further stated the representative and/or AFS should be liable for the tax bill.