Securities Lawyers Blog

There are Recent Customer Complaints with Broker Cole Louviere in Firm Osaic Wealth, INC.

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cole Louviere (Louviere), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Louviere 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 December 16, 2022.

The client alleges he lost $100,000.00 due to the financial advisor failing to follow his instructions to exchange Franklin Funds on 12/12/2022.

There are Recent Customer Complaints with Broker Micheline Yacoub in Firm Nylife Securities LLC

October 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 14, 2022.

Customers allege the three separate Variable Annuity policies they purchased between March 2022 and April 2022 did not provide any benefit to them as the products contained fees and holding periods that were not explained. The customers further allege that one of the variable policies was explained to them to be a fixed policy.

Broker Aldric Johnson in Nylife Securities LLC Firm Has Customer Complaint

October 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 16, 2022.

Customer alleges she was misled when she purchased a recommended Variable Life Insurance policy in October 2021. Customer requests the rescission of the policy.

There are Recent Customer Complaints with Broker Barbara Bart in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

October 24, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Barbara Bart (Bart) 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 Bart was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity. If you have been a victim of Bart’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on December 14, 2022.

The Customer alleges misappropriation of funds and unsuitable investments from 2009 until 2017.

Broker Jasdeep Cheema in J.P. Morgan Securities LLC Firm Has Customer Complaint

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jasdeep Cheema (Cheema), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cheema 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 $31,862.00 on December 14, 2022.

Customer alleges unsuitable recommendation regarding managed account investment. Activity dates 7.8.21 to 7.8.21.

There are Recent Customer Complaints with Broker David Bedford in Firm Fidelity Brokerage Services LLC

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Bedford (Bedford), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bedford 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 $5,000.00 on December 14, 2022.

Customer alleged that the variable annuity was an unsuitable investment for her investment needs.

There are Recent Customer Complaints with Broker Richard Galloway in Firm Edward Jones

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Galloway (Galloway), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Galloway 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 $28,000.00 on December 16, 2022.

Client alleges FA did not tell them about tax consequences resulting from the sale of a variable annuity.

There are Recent Customer Complaints with Broker Jason Rossi in Firm LPL Financial LLC

October 24, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jason Rossi (Rossi), currently associated with LPL Financial LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Rossi concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a final customer complaint with a damage request of $203,007.00 on December 15, 2022.

Time frame: November 2019 – December 2021. Claimant alleges suitability, churning, breach of fiduciary duty, breach of contract, unauthorized trading, negligence, misrepresentation, omission of material facts

There are Recent Customer Complaints with Broker Larry Burton in Firm LPL Financial LLC

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Burton (Burton), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burton 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 $130,000.00 on December 15, 2022.

Unsuitability; Negligence

Broker Phillip Cartwright in Osaic Wealth, INC. Firm Has Customer Complaint

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Cartwright (Cartwright), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cartwright 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 $75,000.00 on December 16, 2022.

Claimants allege certain direct/limited partnership investment recommendations were not in keeping with their needs and objectives; that the product features were not adequately described; and that their portfolio was overly concentrated in such products, causing alleged losses.