Securities Lawyers Blog

There are Recent Customer Complaints with Broker Farrukh Kazmi in Firm Berthel, Fisher & Company Financial Services, INC.

April 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Farrukh Kazmi (Kazmi), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kazmi 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 $350,000.00 on July 24, 2020.

The clients allege the investments they purchased between 2013-2014 were unsuitable and misrepresented to them by the representative. The clients also allege the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Jeremy Hay in Firm LPL Financial LLC

April 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 29, 2020.

The the clients allege the investments purchased between 2014-2015 were unsuitable and misrepresented by the representative. The clients also allege the firm failed to supervise the actions of the representative and failed to preform adequate due diligence

Broker Robert Davenport in Girard Securities, INC. Firm Has Customer Complaint

April 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Davenport (Davenport), previously associated with Girard Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davenport 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 July 23, 2020.

Customer alleged that the investment adviser did not disclose that the investments at issue here could not be liquidated.

There are Recent Customer Complaints with Broker Bain Chadsey in Firm Wells Fargo Clearing Services, LLC

April 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bain Chadsey (Chadsey), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chadsey 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 $50,000.00 on July 22, 2020.

Attorney for client alleged that the financial advisor transacted numerous trades in the account with no appreciable benefit to the client but generated commissions. (6/29/2002-7/19/2016)

Broker Mark Pitman in Alexander Capital, L.p. Firm Has Customer Complaint

April 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 23, 2020.

Suitability

Broker Timothy Long in Cetera Wealth Services, LLC Firm Has Customer Complaint

April 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Long (Long), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Long 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 $33,000.00 on July 28, 2020.

Client is concerned regarding investment performance, cost, and lack of liquidity regarding investments purchased in 2013.

There are Recent Customer Complaints with Broker Paul Haberek in Firm Wells Fargo Clearing Services, LLC

April 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 27, 2020.

Client verbally complained that the financial advisor recommended inappropriate investments. (3/6/2017-7/27/2020).

There are Recent Customer Complaints with Broker Ray Burns in Firm UBS Financial Services INC.

April 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 29, 2020.

Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

There are Recent Customer Complaints with Broker Michael Bell in Firm Cetera Wealth Services, LLC

April 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bell (Bell), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bell 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 $237,494.00 on July 27, 2020.

Client alleges investments were not suitable. Client further alleges over-concentration in investment.

There are Recent Customer Complaints with Broker Jerry Holcomb in Firm Wells Fargo Clearing Services, LLC

April 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 27, 2020.

Attorney verbally demanded repayment of personal loan made by customer to Financial Advisor. (2/13/2013-7/27/2020)