Securities Lawyers Blog

There are Recent Customer Complaints with Broker William Mclaughlin in Firm Coastal Equities, INC.

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Mclaughlin (Mclaughlin), previously associated with Coastal Equities, INC., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Mclaughlin 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 $45,000.00 on October 01, 2021.

Representative is the subject of a claim filed against Coastal Equities, Inc., alleging damages for the value of a security recommended to the client by the representative. Claimant alleges breach of fiduciary duty, that the representative made unsuitable recommendations in the portfolio, negligent misrepresentation and omission, and principle/agent theories of liability against the firm for the acts of the representative.

Broker William Robertson in First Allied Securities, INC. Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Robertson (Robertson), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Robertson 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 $100,000.00 on October 05, 2021.

Claimant alleges his financial adviser recommended unsuitable investments. Claimant generally alleges misrepresentation, breach of duty and contract, and negligence.

Broker Ryan Young in Raymond James Financial Services, INC. Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

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

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

CLIENT ALLEGES HE WAS NOT INFORMED OF THE TAX RAMIFICATIONS DUE TO THE CONVERSION OF EFT’S TO MUTUAL FUNDS AND INCURRED OVER $300,000 IN LONG TERM GAINS. THIS ACTIVITY OCCURRED ON OCTOBER 5, 2021.

There are Recent Customer Complaints with Broker James Pauliks in Firm Nylife Securities LLC

January 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 14, 2021.

Customer alleges when she purchased a variable annuity in October 2015, she was not informed that additional contributions would result in new surrender periods.

Broker Joshua Bitterman in First Allied Securities, INC. Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Bitterman (Bitterman), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bitterman 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 $50,000.00 on October 07, 2021.

Claimant alleges their former registered representative failed to disclose risks of certain alternative investments which claimant alleges were unsuitable.

Broker Matthew Perry in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Perry (Perry), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Perry 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 $140,000.00 on October 13, 2021.

Claimant alleges fraudulent misrepresentation, negligent misrepresentation, breach of fiduciary duty, violation of RSMO Sections 409.5-509 and 409.5-501 (General Fraud), breach of the duty of suitability, unauthorized trading, and negligence. Timeframe June 2016 through March 2019.

There are Recent Customer Complaints with Broker Franklin Lara in Firm Independent Financial Group, LLC

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franklin Lara (Lara), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lara 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 $469,130.00 on October 06, 2021.

Allege investments were not suitable and were not in line with clients stated objectives.

Broker Herbert Weith in Equitable Advisors, LLC Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on October 05, 2021.

Respondent Weith failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker John Drennan in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Drennan (Drennan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Drennan 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 $1,600,000.00 on October 08, 2021.

The customer alleges unsuitable investment advice and a failure to advise on the unforeseen tax consequences of selling stocks.

There are Recent Customer Complaints with Broker Jarred Collins in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jarred Collins (Collins), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Collins 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 $1,600,000.00 on October 08, 2021.

The customer alleges unsuitable investment advice and a failure to advise on the unforeseen tax consequences of selling stocks.