Securities Lawyers Blog

Broker Nora Mahoney in Carleton Mckenna Advisors, LLC Firm Has Customer Complaint

August 23, 2025 | by Staff Attorney

Currently financial advisor Nora Mahoney (Mahoney), currently employed by brokerage firm Carleton Mckenna Advisors, LLC 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 pending customer complaint with a damage request of $750,000.00 on June 25, 2025.

Client alleges that the firm failed to conduct reasonable due diligence before recommending a private placement to him. Client claims that he invested in this private placement in September 2023 and in June 2024 and seeks damages of $750,000 and other relief.

There are Recent Customer Complaints with Broker Matthew Vance in Firm Moloney Securities Co., INC.

August 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Vance (Vance), previously associated with Moloney Securities Co., INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Vance 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 $500,000.00 on June 24, 2025.

Suitability/negligence. 2019-2020

Broker Andrew Dougherty in Voya Financial Advisors, INC. Firm Has Customer Complaint

August 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Dougherty (Dougherty), previously associated with Voya Financial Advisors, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Dougherty 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 $306,830.24 on June 25, 2025.

Client alleges representative’s sales of insurance and advisory products was unsuitable and not aligned with client’s needs or goals.

There are Recent Customer Complaints with Broker Christopher Clackson in Firm RBC Capital Markets, LLC

August 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Clackson (Clackson), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clackson 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 $450,000.00 on June 23, 2025.

The client alleged the variable annuity purchased in March 2024 was misrepresented.

There are Recent Customer Complaints with Broker Thomas Steele in Firm Morgan Stanley

August 23, 2025 | by Staff Attorney

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

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

Client alleges unsuitable investment recommendations.

Broker Hoss Esmaeili in Avantax Investment Services, INC. Firm Has Customer Complaint

August 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hoss Esmaeili (Esmaeili), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Esmaeili 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 $439,114.00 on June 26, 2025.

Client alleges unauthorized sale and transfer of funds from her account resulting in loss.

Broker Raeann Sarsfield in Raymond James & Associates, INC. Firm Has Customer Complaint

August 23, 2025 | by Staff Attorney

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

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

The client alleges misrepresentation of rates of Certificates of Deposit in 2023.

Broker Vic Leung in Cetera Investment Services LLC Firm Has Customer Complaint

August 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

Client alleges that they were told investment time horizon was 1 year and guaranteed return of principal upon maturity.

Broker Jason Hawke in D.h. Hill Securities, Lllp Firm Has Customer Complaint

August 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Hawke (Hawke), currently associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Hawke 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 July 01, 2025.

Client alleges unsuitable recommendation of purchase of a fee simple investment in December of 2022.

Broker Mark Meloro in Usa Financial Securities LLC Firm Has Customer Complaint

August 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Meloro (Meloro), currently associated with Usa Financial Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meloro 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 $85,000.00 on June 30, 2025.

Mark Meloro has been named in FINRA Dispute Resolution Services Arbitration Number 25-01273 The complainants are alleging that Mr. Meloro placed them in unsuitable investment, by failing to explain the investments in great enough detail