Securities Lawyers Blog

Broker Keith Patterson in Cetera Wealth Services, LLC Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Patterson (Patterson), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patterson 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 August 05, 2021.

Claimants alleged unsuitability of alternative investment which caused financial harm. The allegations include unsuitability, fraud, breach of contract, breach of fiduciary duty, negligence and violation of laws.

Broker Paul Drolson in First Allied Securities, INC. Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2021.

Claimant generally alleges suitability, breach of contract, negligent supervision, and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Frederick Atiyeh in Firm LPL Financial LLC

January 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2021.

The customer alleges lack of proper due diligence, lack of suitability and over concentration in regards to investments in alternative and variable annuity products.

Broker Steven Schwartz in National Securities Corporation Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Schwartz (Schwartz), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Schwartz 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 $200,000.00 on August 12, 2021.

Attorney for clients claims investment strategy was not suitable.

There are Recent Customer Complaints with Broker Kenneth Biebel in Firm A.g.p. / Alliance Global Partners

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Biebel (Biebel), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Biebel 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 $17,100.19 on August 17, 2021.

Unsuitability

Broker John Gibson in Hightower Securities, LLC Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

Previously financial advisor John Gibson (Gibson), previously employed by brokerage firm Hightower Securities, 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 settled customer complaint with a damage request of $100,001.00 on August 18, 2021.

John Gibson is the subject of a FINRA arbitration alleging certain sales practice violations, including a violation of suitability obligations, in connection with a private placement investment made on or around February 2019, currently required to be disclosed pursuant to FINRA guidance. FINRA arbitration for this matter is still pending, and the FINRA arbitration tribunals have not yet finalized its evaluation of the client’s statement of claim. In keeping with FINRA’s disclosure requirements, this arbitration is required to be disclosed before Mr. Gibson can defend his actions.

There are Recent Customer Complaints with Broker Anthony Ghiglieri in Firm LPL Financial LLC

January 27, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anthony Ghiglieri (Ghiglieri), currently employed by LPL Financial LLC 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), Ghiglieri’s most recent customer complaint alleges that Ghiglieri 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 $12,450.94 on August 18, 2021.

Customer alleges the investment in the structured product was unsuitable based on their investment profile. In addition, the customer alleges the RR misrepresented the product by not disclosing the risks.

Broker Michael Karp in David Lerner Associates, INC. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Karp (Karp), previously associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Karp 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 $35,112.00 on August 17, 2021.

Failure to follow instructions

Broker Sean Burr in J.w. Cole Financial, INC. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

Currently financial advisor Sean Burr (Burr), currently employed by brokerage firm J.w. Cole Financial, INC. 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 settled customer complaint with a damage request of $90,000.00 on August 23, 2021.

Clients alleged REITs purchased were unsuitable

There are Recent Customer Complaints with Broker Jerome Dewane in Firm Edward Jones

January 27, 2026 | by Staff Attorney

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

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

Client alleges the financial advisor did not invest $100,000.00 into moderate risk mutual funds as agreed to in March 2020. The client also alleges that an automatic withdrawal of $10,000.00 a month from her savings account was not completed.