Securities Lawyers Blog

There are Recent Customer Complaints with Broker Mark Perry in Firm Brokers International Financial Services, LLC.

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Perry (Perry), previously associated with Brokers International Financial Services, LLC., has at least 2 disclosable events. These events include 2 customer complaints, 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 $150,000.00 on June 22, 2020.

Arbitration claims Insurance Agent took checks made payable to his firm totaling $150,000 and converted it for personal use. Firm and Rep are named as responsible for supervision of the Agent’s activity for his own company where Rep happened to be employed.

Broker Carlos Abad in Tfs Securities, INC. Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Abad (Abad), previously associated with Tfs Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Abad 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 June 22, 2020.

Claimant believes rep placed his retirement assets into speculative/high commission alternative investments that were unsuitable; believes majority of his retirement assets were lost under reps care and guidance

There are Recent Customer Complaints with Broker Louis Bayhi in Firm Nylife Securities LLC

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis Bayhi (Bayhi), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bayhi 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 $11,002.00 on June 29, 2020.

The customer alleges the RR never advised him in September 2019 that he would incur a tax obligation when he recommended that he exchange one fund for another in his Mainstay mutual fund account. As a result of the poor recommendation, the customer alleged he incurred an $11,000 additional tax obligation and he is requesting to be made whole for the extra taxes incurred.

Broker Russell Blum in International Assets Advisory, LLC Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 24, 2020.

Claimant alleges fa over-concentrated her portfolio in unsuitable investments

Broker David Mcnally in Mcnally Financial Services Corporation Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Mcnally (Mcnally), currently associated with Mcnally Financial Services Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mcnally 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 $366,773.00 on June 22, 2020.

Breach of fiduciary duty, negligent supervision, violation of Corporation Code Section 25400 et seq, Control liability under Corporation Code 25403, 25504, 25504.1, Elder abuse under CA Welfare and Institutional Code

Broker Brian Cobb in Edward Jones Firm Has Customer Complaint

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Cobb (Cobb), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cobb 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 $35,107.62 on June 30, 2020.

The client’s alleges that the commissions to liquidate their accounts was misrepresented and has asked for reimbursement of difference.

There are Recent Customer Complaints with Broker Frederick Guist in Firm LPL Financial LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Guist (Guist), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Guist 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 July 01, 2020.

Claimant alleges that he suffered losses in connection with three alternative investments that were purchased for claimant at another broker-dealer and not lpl. Claimant contends that the investments declined in value and seeks damages under breach of fiduciary duty and negligence theories of liability. Activity period: 4/2007 – 4/2020.

There are Recent Customer Complaints with Broker Peter Frederich in Firm Ameriprise Financial Services, LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Frederich (Frederich), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Frederich 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 $179,000.00 on June 30, 2020.

The clients’ attorney alleged the advisor implemented a managed account portfolio without the clients’ authorization.

There are Recent Customer Complaints with Broker John Phillips in Firm Spartan Capital Securities, LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Phillips (Phillips), previously associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Phillips 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 June 30, 2020.

Time Frame: July 2014\<char_lb_r>\, Allegations: Unsuitable Investments

Broker Christopher Naugle in Cadaret, Grant & Co., INC. Firm Has Customer Complaint

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Naugle (Naugle), previously associated with Cadaret, Grant & Co., INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Naugle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 06, 2020.

Claimant alleges that he was misled into retiring early and taking his pension in a lump sum and that the investments made in his managed accounts, opened in November 2014, were not in accordance with his investment objectives.