Securities Lawyers Blog

There are Recent Customer Complaints with Broker David Radford in Firm Pruco Securities, LLC.

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 27, 2022.

Customer Alleges the rep did not fully disclose all the facts regarding investment objectives and suitability.

Broker Steven Roberson in Nylife Securities LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 01, 2022.

Customer alleges the Variable Annuity policy he purchased in November 2021 is not categorized for his age group.

There are Recent Customer Complaints with Broker Evan Moser in Firm Edward Jones

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Moser (Moser), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Moser 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 $10,000.00 on September 26, 2022.

The client alleges that the financial advisor placed trades in 2021 without authorization.

Broker Maurice Kelley in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maurice Kelley (Kelley), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kelley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 26, 2022.

The customers allege an unsuitable investment strategy, omission of materials facts and that the Financial Advisor was not acting in their best interest from August of 2020 until January of 2021.

There are Recent Customer Complaints with Broker Katherine Morosani in Firm Edward Jones

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katherine Morosani (Morosani), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Morosani 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 $16,058.92 on September 27, 2022.

The client alleges the purchase of two mutual funds was not appropriate for her specific needs and goals, which she alleges the Financial Advisor was aware of.

There are Recent Customer Complaints with Broker Ryan Mitrik in Firm Edward Jones

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Mitrik (Mitrik), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mitrik 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 $20,000.00 on September 29, 2022.

The client alleges the financial advisor (and his wife) took advantage of her by enticing her to take a margin loan and pay the FA’s wife for classes taken by her granddaughter. The client states the courses were useless and believes the FA (and his wife) took advantage of her. Additionally, the client requests that she be reimbursed for the costs of the classes.

Broker Nicholas Mazzaferro in Equitable Advisors, LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 22, 2022.

Client alleges the RR did not disclose the surrender charges associated with a variable annuity sold in 2022.

Broker Nohra Bello in Fidelity Brokerage Services LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 26, 2022.

The customers allege an unsuitable investment strategy, omission of materials facts and that the Financial Advisor was not acting in their best interest from August of 2020 until January of 2021.

There are Recent Customer Complaints with Broker Alex Rosen in Firm Osaic Wealth, INC.

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 19, 2022.

The client alleges the RR misrepresented variable annuities purchased in 2021 and 2022.

There are Recent Customer Complaints with Broker Ryan Herits in Firm Lincoln Investment

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Herits (Herits), currently associated with Lincoln Investment, has at least one disclosable event. These events include one customer complaint, alleging that Herits 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 $5,718.63 on September 21, 2022.

Client alleged that the representative failed to act upon instructions to liquidate.