Securities Lawyers Blog

There are Recent Customer Complaints with Broker Craig Eastwood in Firm Ameriprise Financial Services, LLC

February 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 15, 2021.

Claimant alleges that in November 2017 her advisor recommended an unsuitable investment in a non-qualified variable annuity. Claimant seeks unspecified damages.

Broker Allyson Trantum in J.w. Cole Financial, INC. Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allyson Trantum (Trantum), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Trantum 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 $2,000,000.00 on March 12, 2021.

Client completed paperwork to surrender annuity in response to buyout offer from VA sponsor and alleges she did not wish to surrender the annuity and is seeking lost lifetime income guarantees.

Broker Ricardo Rodriguez Vazquez in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricardo Rodriguez Vazquez (Rodriguez Vazquez), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez Vazquez 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 $370,000.00 on March 15, 2021.

Client alleges overconcentration, unsuitability, breach of fiduciary duty, violations of securities laws and rules, breach of contract, negligence, fraud, false inducement to inaction, negligent supervision (Puerto Rico bonds, closed-end funds and open end funds). Includes request for rescission, punitive damages, interest, costs, fees.

Broker Douglas Smith in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Smith (Smith), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $14,540.88 on March 17, 2021.

The client alleged an equity security was sold in January 2021 without her authorization.

There are Recent Customer Complaints with Broker Glenn Arons in Firm Park Avenue Securities LLC

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Arons (Arons), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arons 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 $315,000.00 on March 16, 2021.

Claimants allege the RR violated his suitability obligation and was negligent in recommending investments in three private equity ventures.

There are Recent Customer Complaints with Broker David Weiniger in Firm Velocity Clearing, LLC

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Weiniger (Weiniger), currently associated with Velocity Clearing, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weiniger 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 $24,000,000.00 on March 15, 2021.

The customer is alleging that the losses it suffered were the result of the restrictions placed upon it by the Firm in its trading and its access to margin during the market volatility that occurred at the onset of the COVID 19 pandemic in February and March 2020.

Broker Donald Gunn in International Assets Advisory, LLC Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Gunn (Gunn), currently associated with International Assets Advisory, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gunn 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 March 16, 2021.

Negligence, violation of florida’s securities and investor protection act, common law fraud, etc. Regarding purchase of gpb products.

There are Recent Customer Complaints with Broker Harvey Ross in Firm Oppenheimer & CO. INC.

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harvey Ross (Ross), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Ross 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 $710,695.00 on March 16, 2021.

Customer asserts claims for breach of fiduciary duty, breach of contract and\, negligence in connection with investments in discretionary account. 1/1/2017 to 12/31/2020.

Broker Alan Haenel in Kovack Securities INC. Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Haenel (Haenel), previously associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Haenel 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 $99,999.00 on March 17, 2021.

Claimant alleges breach of fiduciary duty, negligence, and breach of contract pertaining to the purchase, in Nov. 2017, of GPB Automotive Portfolio LP, a DPP.

Broker Stephen Hall in UBS Financial Services INC. Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 19, 2021.

Time Frame: August 25, 2020\, \, What were the allegations against the individual? \, \, The client alleges unauthorized trading. The alleged damages are estimated to be in excess of $5,000.00.