Securities Lawyers Blog

Broker Penelope Donnelly in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 10, 2023.

Client alleges failure to follow instructions related to the liquidation of a mutual fund and transfer of proceeds in April 2022.

There are Recent Customer Complaints with Broker Jeffrey Matchett in Firm Osaic Wealth, INC.

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Matchett (Matchett), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Matchett 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 $8,416.94 on January 09, 2023.

Client alleges she requested the RR to maintain $80,000 in her KeyBank savings account rather than investing the full amount of $250,000 in four different Franklin mutual funds.

Broker David Stamper in Cetera Wealth Services, LLC Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2023.

CLAIMANTS ALLEGE THEY WERE RECOMMENDED UNSUITABLE INVESTMENTS.

Broker Christopher Meyer 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 Christopher Meyer (Meyer), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 $80,000.00 on January 09, 2023.

The clients allege that the Financial Advisor failed to follow instructions to liquidate the client’s ETF positions on the date requested, resulting in the loss of $80,000 in realized gains meant to offset a previous realized loss. The dates when the activities took place leading to the allegation are December 12, 2022, thru December 21, 2022.

There are Recent Customer Complaints with Broker Leigh Einhorn in Firm Wells Fargo Advisors Financial Network, LLC

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leigh Einhorn (Einhorn), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Einhorn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 09, 2023.

Customers complained that the financial advisor did not communicate clearly to them the details of the recommended investment or accurately assess their financial suitability. (2/10/2021-1/9/2023)

There are Recent Customer Complaints with Broker Joseph Alagna in Firm Joseph Gunnar & CO. LLC

October 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $2,108,923.00 on January 09, 2023.

The Statement of Claim alleges that Mr. Alagna failed to reasonably supervise the broker of record for these clients’ accounts.

Broker Steven Enders in Osaic Wealth, INC. Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2023.

CLAIMANTS ALLEGE THEY WERE RECOMMENDED UNSUITABLE INVESTMENTS.

There are Recent Customer Complaints with Broker Gary Imel in Firm Ameriprise Financial Services, INC.

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Imel (Imel), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Imel 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 $35,000.00 on January 09, 2023.

Unsuitable recommendations of alternative investments

There are Recent Customer Complaints with Broker Lukasz Janko in Firm J.P. Morgan Securities LLC

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lukasz Janko (Janko), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Janko 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 January 20, 2023.

Client alleges unsuitable investments and misrepresentation of risks.

There are Recent Customer Complaints with Broker Michael Yoon in Firm MML Investors Services, LLC

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Yoon (Yoon), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yoon 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 January 18, 2023.

The complainant alleges that her registered representative, beginning in or around April 2021, mismanaged her account, placed unauthorized trades, and made unsuitable stock and whole life insurance recommendations.