Securities Lawyers Blog

Broker Javier Gonzalez in J.P. Morgan Securities LLC Firm Has Customer Complaint

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Javier Gonzalez (Gonzalez), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez 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 January 22, 2023.

Trustee of a marital trust sought to exercise a death put claim on a note held in the trust following the death of beneficial owner. Death put was not paid in 2022 based upon limitations upon the amount of securities that can be liquidated in a certain time period. Trustee claimed that sale of the particular note was inappropriate because of the limitations placed upon the death claim process.

There are Recent Customer Complaints with Broker Aalon Rose in Firm Morgan Wilshire Securities, INC.

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aalon Rose (Rose), currently associated with Morgan Wilshire Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rose 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 $29,479.81 on January 18, 2023.

Unauthorized trades, unsuitability, good faith & fair dealing, ans missrepresation

There are Recent Customer Complaints with Broker Troy Thomas in Firm Mcdermott Investment Services, LLC

October 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 17, 2023.

[REDACTED] allege that the firm failed to conduct adequate due diligence in connection with [REDACTED]’s 2015 investment into four Delaware Statutory Trusts purchased to effect a tax-advantaged 1031 exchange of [REDACTED]’s prior real estate investments. [REDACTED] also allege that these investments were unsuitable. Allegations also include breach of fiduciary duty, negligence, common law fraud, and failure to supervise.

There are Recent Customer Complaints with Broker Scott Oliphant in Firm Cetera Advisors LLC

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Oliphant (Oliphant), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oliphant 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 $100,000.00 on January 20, 2023.

Customer alleged that the sale of a REIT was not suitable and was an over-concentration of assets. In connection with that same transaction, complainant alleged breach of fiduciary duty, breach of contract, negligence, negligent misrepresentation or omission, common law fraud, and negligent supervision.

There are Recent Customer Complaints with Broker Bryan Lubitz in Firm Equitable Advisors, LLC

October 20, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Bryan Lubitz (Lubitz), currently associated with Equitable Advisors, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Lubitz concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a final customer complaint with a damage request of $139,224.00 on January 18, 2023.

Time frame: March 2013 – August 2022. Claimant alleges suitability, churning, breach of fiduciary duty, breach of contract, unauthorized trading, negligence, misrepresentation, omission of material facts

There are Recent Customer Complaints with Broker Nicholas Hasselkus in Firm Morgan Stanley

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Hasselkus (Hasselkus), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hasselkus 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 13, 2023.

CLIENT ALLEGES, INTER ALIA, THAT THEIR INSTRUCTIONS TO TRANSFER THEIR ACCOUNT IN KIND TO THEIR NEW FIRM WERE NOT FOLLOWED 2022

There are Recent Customer Complaints with Broker Donald Savaglia in Firm Osaic Wealth, INC.

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Savaglia (Savaglia), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Savaglia 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 17, 2023.

As per Cetera’s filing, Claimants allege they were recommended unsuitable investments, and failure to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Brian Johnson in Firm State Farm Vp Management Corp.

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Johnson (Johnson), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 January 18, 2023.

He did not want to have this policy. The agent opened the account anyway.

Broker William Moses in LPL Financial LLC Firm Has Customer Complaint

October 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 18, 2023.

Customer alleges representative, his half-brother, transferred funds out of customer’s UTMA account on several occasions during the time period 2015-2021 and deposited the funds into a checking account belonging to another family member.

There are Recent Customer Complaints with Broker William Seibert in Firm Raymond James & Associates, INC.

October 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 13, 2023.

Claimants allege FA recommended they invest heavily in unsuitable and purportedly high-risk oil and gas investments. Allegation Activity Dates: 2010 – 2018.