Securities Lawyers Blog

There are Recent Customer Complaints with Broker Gerald Dewes in Firm Cadaret, Grant & Co., INC.

February 23, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Gerald Dewes (Dewes) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Dewes was employed by Cadaret, Grant & Co., INC. at the time of the activity. If you have been a victim of Dewes’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on April 07, 2021.

Claimant alleges unsuitable investment recommendations, common law fraud, breach of contract, negligent supervision, and breach of fiduciary duty in connection with alleged investments in an unapproved private investment and two OTC stocks that were recommended by Mr. Dewes through his independent registered investment adviser and effected through accounts held at a third-party custodian.

Broker Michael Speer in Cambridge Investment Research, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Speer (Speer), previously associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Speer 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.

Client alleges unsuitable investments.

There are Recent Customer Complaints with Broker Howard Yeager in Firm Newbridge Securities Corporation

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Yeager (Yeager), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Yeager 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 $300,000.00 on April 08, 2021.

Claimant alleges: negligence, breach of fiduciary duty

Broker Richard George in Bankers Life 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 Richard George (George), currently associated with Bankers Life Securities, INC., has at least 8 disclosable events. These events include 8 customer complaints, alleging that George 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.

Client alleged unsuitability with respect to investment in advisory- 01/02/2018 to 07/20/2019.

Broker Matthew Martinez in MML Investors 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 Matthew Martinez (Martinez), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martinez 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 $200,000.00 on April 05, 2021.

Customers allege that representative failed to make suitable recommendations by recommending REITS on 4/29/2015.

Broker Joseph Petty in Benjamin F. Edwards & Company, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Petty (Petty), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Petty 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 $12,000.00 on April 06, 2021.

Client alleges a failure to follow instructions to liquidate quarterly interval fund on December 31, 2020, and that the subsequent liquidation of the fund on March 31, 2021 resulted in a loss to her of over $12,000.

Broker John Taylor in B. Riley Wealth Management Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Taylor (Taylor), previously associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $127,572.71 on April 05, 2021.

Alleges unsuitable investment recommendations in violation of FINRA Rules 2111 and 2090 and failure to supervise under FINRA Rule 3110 for transactions that took place in 2016 to mid-2017.

There are Recent Customer Complaints with Broker Eric Nilson in Firm Wells Fargo Clearing Services, LLC

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Nilson (Nilson), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nilson 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.

Client’s representative complained that the fee based program client was invested in was unsuitable for client’s objectives, that the management fee was inappropriate, and that short term gains caused unnecessary tax implications. (8/31/2006-7/10/2017)

Broker Valente Orozco Villasenor in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Valente Orozco Villasenor (Orozco Villasenor), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Orozco Villasenor 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 $11,279.00 on April 11, 2021.

The customer alleges misrepresentations.

Broker Justin Ennis in Edward Jones Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Ennis (Ennis), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Ennis 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 $7,664.89 on April 11, 2021.

Client alleges financial advisor made unauthorized trades that caused short term capital gains tax implications.