Securities Lawyers Blog

Broker Lance Reinhardt in Axiom Capital Management, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lance Reinhardt (Reinhardt), previously associated with Axiom Capital Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Reinhardt 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 $660,000.00 on April 08, 2021.

Suitability

Broker Lorenzo Delgado Bustamante in Kovack Securities INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lorenzo Delgado Bustamante (Delgado Bustamante), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Delgado Bustamante 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 $225,000.00 on April 05, 2021.

Period 2005-2013. Alleges concentration in pr securities, misrepresentation of suitability, fraud, breach of fid duty, negligence, violation finra rules, pr and federal law.

Broker Steven Hocking in Raymond James & Associates, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.

Time Frame: October 23, 2020\, What were the allegations against the individual? \, The trustee alleges her Financial Advisor dd not follow her instructions and her security was sold which caused tax implications. The alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Christopher Hathaway in Firm LPL Financial LLC

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hathaway (Hathaway), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hathaway 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 $8,501.00 on April 07, 2021.

Customer alleges that during the approximate time period of June 2020 to February 2021, the Representative promised him that the money in his variable universal life insurance (VUL) policy was safe and the Customer would receive the VUL policy’s Accumulated Value upon a policy change to a term policy but no policy change occurred. The VUL policy lapsed due to non-payment of premium and the Customer did not receive any funds because the surrender charges exceeded the VUL policy’s Accumulated Value. The Customer is requesting a full refund of premiums paid into the VUL policy.

Broker Ryan Fleming in Osaic Wealth, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Fleming (Fleming), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fleming recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.

According to Hornor Townsend Kent\\u00e2? ?s disclosure, the client alleged that certain REIT investments recommended to them were not suitable, and resulted in losses.

Broker Lonnie Benzinger in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lonnie Benzinger (Benzinger), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Benzinger 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 $146,000.00 on April 05, 2021.

Claimants allege that they were was recommended an unsuitable, high-commission, high-risk, and speculative alternative investments: FSKR, FSEnergy and CNL Healthcare Properties REIT.

Broker Harry Lang in Valic Financial Advisors, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.

Clients alleged that RR misrepresented annuities and sold them unsuitable products, despite being aware of their health problems.

Broker Jason Poff in Allstate Financial Services, LLC Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.

Customer alleged that investment of $20,000 in REIT in June 2014 was unsuitable. Complaint was settled to avoid the time and expense of further dispute. Activity Dates: 6/20/14 TO 4/5/21.

Broker Frederick Mueller in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 06, 2021.

Claimant alleges registered representative invested Claimant’s accounts in an aggressive and unsuitable manner.

Broker Richard Weeks Iv in Hightower Securities, LLC Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

Currently financial advisor Richard Weeks Iv (Weeks Iv), currently employed by brokerage firm Hightower Securities, 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 with a damage request of $450,000.00 on April 09, 2021.

Richard Weeks is the subject of a FINRA arbitration alleging sales practice violations, including a violation of suitability obligations, in connection with a private placement investment made on or around February 2017, currently required to be disclosed pursuant to FINRA guidance. \, \, The FINRA arbitration for this matter is still pending, and the FINRA arbitration tribunals have not yet finalized its evaluation of the client’s statement of claim. In keeping with FINRA’s disclosure requirements, this arbitration is required to be disclosed before Mr. Weeks can defend his actions.