Securities Lawyers Blog

Broker Anthony Dorsey in PFS Investments INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Dorsey (Dorsey), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Dorsey 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 $31,131.66 on January 04, 2023.

CUSTOMER ALLEGED I FAILED TO INFORM HER OF THE FREE-LOOK PERIOD, ALLOWING HER TO SURRENDER HER VARIABLE ANNUITY CONTRACT TIMELY, WITHOUT PENALTY.

Broker Kevin Brennan in Andrew Garrett INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Brennan (Brennan), previously associated with Andrew Garrett INC., has at least one disclosable event. These events include one customer complaint, alleging that Brennan 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 $1,400,000.00 on January 03, 2023.

unsuitabILITY,breach of fiduciary breach of contract

There are Recent Customer Complaints with Broker Jorge Alvarez in Firm Truist Investment Services, INC.

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge Alvarez (Alvarez), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Alvarez 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 January 03, 2023.

Client alleges investment was unsuitable.

Broker Charles Taylor in World Equity Group, INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Taylor (Taylor), currently associated with World Equity Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $2,200,000.00 on January 03, 2023.

Respondents Recommended Third Party Administrators Who Stole Nearly all the Plans’\, Savings; Respondents did not Report any of it. Claimants are reporting failure of fiduciary responsibility of the Mr. Taylor and World Equity Group, Inc who is the employing broker dealer of Mr. Taylor

Broker Cheryl Richardson in MML Investors Services, LLC Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cheryl Richardson (Richardson), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Richardson 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 $46,873.00 on January 03, 2023.

The complainant, who was the customer’s POA, alleges that in 2021, the rep annuitized the customer’s variable annuity and didn’t explain that if the customer didn’t live to the end of the 5 year contract, the remaining amount in the account would be forfeited. The complainant alleges that the rep illustrated one plan but put the customer’s funds into something different. The complainant wants the balance of the customer’s account returned.

Broker Morgan Hees in UBS Financial Services INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morgan Hees (Hees), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hees 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 $637,686.15 on January 03, 2023.

Time frame: June 28, 2021 to December 26, 2021\, \, Allegations: Clients allege unsuitability in connection with the merger for certain holdings, which resulted in principal losses.

There are Recent Customer Complaints with Broker Alan Pransky in Firm Lifemark Securities Corp.

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Pransky (Pransky), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Pransky 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 January 03, 2023.

Allegations pertain to an investment in an alternative product, intended to be a small component of a larger diversified portfolio. Unfortunately, the company that issued the investment has since filed Chapter 11 bankruptcy. As a result, the client is now alleging unsuitable investment recommendations, misrepresentation, breach of fiduciary duty, breach of contract and omission of fact.

There are Recent Customer Complaints with Broker Mark Zitzelsberger in Firm LPL Financial LLC

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Zitzelsberger (Zitzelsberger), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zitzelsberger 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 30, 2022.

Customer alleges that investment of $25,000 in June 2012 was unsuitable and seeks unspecified damages.

There are Recent Customer Complaints with Broker Matthew Black in Firm Cambridge Investment Research, INC.

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Black (Black), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Black 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 $57,096.92 on January 11, 2023.

Clients allege that a recommendation to invest in Schwab Intelligent Portfolios, an automated investing service, in or around November 2021 was unsuitable. They further allege that their request to terminate the service and liquidate the accounts in June 2022 did not take place timely, causing further damages.

Broker James Morman in Edward Jones Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Morman (Morman), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Morman 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 $8,717.77 on January 12, 2023.

The client alleges the financial advisor failed to follow instructions and made unauthorized mutual fund trades.