Securities Lawyers Blog

Broker Jason Gopen in J.P. Morgan 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 Jason Gopen (Gopen), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gopen 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 September 22, 2022.

Customer alleges unauthorized trading and unsuitable recommendation regarding managed account investment. Activity dates 02.14.20 – 09.22.22.

There are Recent Customer Complaints with Broker John Becker in Firm LPL Enterprise, LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Becker (Becker), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Becker 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 Dusty Sternadel in Ameriprise Financial 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 Dusty Sternadel (Sternadel), previously associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Sternadel 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 28, 2022.

The client alleged the advisor misappropriated funds in her account without her authorization.

Broker Michaelangelo Dooley in Newedge Securities, LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Michaelangelo Dooley (Dooley), currently employed by Newedge Securities, 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), Dooley’s most recent customer complaint alleges that Dooley 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 $26,000.00 on September 16, 2022.

Customer alleges unsuitable investment allocations to international growth and emerging markets stocks, lack of diversification in managed account structured note portfolio and misrepresentations regarding tax exempt municipal bond yields.

There are Recent Customer Complaints with Broker Travis Jennings in Firm Dempsey Lord Smith, LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Jennings (Jennings), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jennings 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 September 29, 2022.

The claimant alleges (i) that Encompass Financial Group, Inc. d/b/a Finance CAPE and Travis S. Jennings solicited and recommended that claimant invest $500,000 in L-Bonds offered by GWG Holdings in October 2020; (ii) that the recommendations were contrary to the claimant’s investment objectives, risk tolerance, and best interest; (iii) that the recommendations were also contrary to the instructions given by claimant; (iv) that Finance CAPE and Jennings breached their fiduciary duty; and (v) that the investments resulted in damages. Finance CAPE and Jennings deny all claims.

There are Recent Customer Complaints with Broker Robert Gustafson in Firm Moloney Securities Co., INC.

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Gustafson (Gustafson), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Gustafson 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 $110,000.00 on September 27, 2022.

Suitability/negligence. 2020

There are Recent Customer Complaints with Broker Edward Rakosky in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Rakosky (Rakosky), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rakosky 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.

Customer alleges unsuitable investment recommendations from December 2020 through April 2022.

There are Recent Customer Complaints with Broker Christopher Magee in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 02, 2022.

The customer alleges unsuitable investment recommendations and misrepresentations from December 2020 through October 2022.

There are Recent Customer Complaints with Broker Rodger Sprouse in Firm Creativeone Securities, LLC

August 20, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Rodger Sprouse (Sprouse), previously employed by Creativeone Securities, LLC has been subject to at least one disclosable event. These events include one regulatory event. According to records kept by The Financial Industry Regulatory Authority (FINRA), Sprouse’s most recent customer complaint alleges that Sprouse recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a final customer complaint on September 30, 2022.

Without admitting or denying the findings, Sprouse consented to pay civil penalties and agrees to the entry of findings from the KSC Order. The findings indicate that from April 2017 until March 2018, Sprouse sold Purchase Agreements (PA), also known as structured cash flows, as an agent on behalf of Future Income Payments, LLC (FIP). At the time of sale, these PAs were not registered as securities under the KUSA as required.

There are Recent Customer Complaints with Broker Jacob Warner in Firm Charles Schwab & Co., INC.

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jacob Warner (Warner), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Warner 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 $21,327.99 on September 19, 2022.

The client expressed dissatisfaction with the recommendations she received while enrolled in Schwab Wealth Advisory from January 2020 to July 2022 and requested reimbursement of fees in the amount of $21,327.99.