Securities Lawyers Blog

There are Recent Customer Complaints with Broker Sam Aziz in Firm David A. Noyes & Company

March 2, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Sam Aziz (Aziz), previously associated with David A. Noyes & Company, has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Aziz concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on February 16, 2021.

Attorney for clients complained of unsuitable and excessive trading. (10/14/2013-3/31/2015)

Broker Andrew Burish in UBS Financial Services INC. Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Burish (Burish), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Burish 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 $23,085,874.00 on February 23, 2021.

Time frame: September 2019- July 2020\, The Claimants allege that the FA recommended an unsuitable and risky strategy of selling the stock of Tesla short and recommended that they continue to hold the positions in the face of mounting losses. The First Amended Statement of Claim has added a claim for fraud alleging that the FA failed to advise them that he was no longer shorting Tesla in his own account from July 2019-June 2020.

There are Recent Customer Complaints with Broker Daniel Fair in Firm Davenport & Company LLC

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Fair (Fair), previously associated with Davenport & Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fair 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 $670,000.00 on February 22, 2021.

Client alleges unsuitable and non-diversified investments during the period 2014 to 2016.

Broker Walter Stallones in Momentum Independent Network INC. Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Stallones (Stallones), previously associated with Momentum Independent Network INC., has at least one disclosable event. These events include one customer complaint, alleging that Stallones 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 $730,000.00 on February 18, 2021.

Misrepresentation, unsuitable recommendations.

There are Recent Customer Complaints with Broker Cole Conrad in Firm LPL Financial LLC

March 1, 2026 | by Staff Attorney

Currently financial advisor Cole Conrad (Conrad), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint on March 01, 2021.

The complainant alleges that the REITs that were sold to him beginning in or around 2014 were unsuitable for his conservative portfolio.

There are Recent Customer Complaints with Broker Samuel Yawson in Firm Citizens Securities, INC.

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 26, 2021.

This complaint did not meet our criteria for reporting and is only being reported now because of a Settlement of $17,758.53.

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

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 28, 2021.

The customer alleges failure to follow instructions in December 2020.

There are Recent Customer Complaints with Broker Matthew Cochran in Firm Northwestern Mutual Investment Services, LLC

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Cochran (Cochran), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cochran 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 $184,000.00 on March 02, 2021.

Customers allege that from March 2016 until at least April 17, 2017, Representative provided fraudulent and defective investment advice and made false representations and omissions of material facts in connection with the sale of securities sold away from and not sanctioned by Northwestern Mutual Investment Services, with the intent to deceive the customers and in breach of his fiduciary duty. Customers allege that they did not discover Representative’s fraud, deception and mismanagement of their accounts that resulted in a total loss of their investment of $184,000.00 until March 2018.

There are Recent Customer Complaints with Broker Omar Henry in Firm Cetera Advisors LLC

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2021.

Claimant alleges that the registered representative made unsuitable recommendation.

There are Recent Customer Complaints with Broker Nicholas Baecker in Firm Thrivent Investment Management INC.

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Baecker (Baecker), previously associated with Thrivent Investment Management INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Baecker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 25, 2021.

Misstatements on applications and forged signatures