Securities Lawyers Blog

Broker Brian Robertson in Maxim Group LLC Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Robertson (Robertson), currently associated with Maxim Group LLC, 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 $57,000.00 on March 08, 2021.

Client alleges unsuitability.

Broker Erik Melville in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Melville (Melville), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Melville 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 $15,919.00 on March 04, 2021.

Client alleges advisor failed to follow instructions with regard to trading in the account.

Broker Mark Burford in LPL Financial LLC Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Burford (Burford), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burford 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 $25,000.00 on March 05, 2021.

Customers allege that the purchases of two investments for their overall portfolios were unsuitable. Activity Period: 2/2014 – 3/2021.

Broker Ranjan Luthra in U.S. Bancorp Investments, INC. Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2021.

The complainant alleges that the rep misrepresented the variable life insurance policy that was sold to them in 2001, stating that they were told that the policy would cover the premiums after 10 years, however, premiums are still required, and they are increasing.

Broker Dustin Mikkelsen in Equity Services, INC. Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Mikkelsen (Mikkelsen), previously associated with Equity Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mikkelsen 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 $384,100.00 on March 05, 2021.

Customer alleges that the deceased Registered Representative, the customer’s former spouse, implemented an unsuitable investment strategy and made unauthorized withdrawals from the account

There are Recent Customer Complaints with Broker Christopher Noonan in Firm Wells Fargo Clearing Services, LLC

February 28, 2026 | by Staff Attorney

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

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

Client complained that the financial advisor purchased mutual funds in his account that were not appropriate for the account status. (2/23/2021-3/3/2021)

Broker Calvin Franklin in PFS Investments INC. Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 04, 2021.

Client alleged i made a poor recommendation that she surrender her variable annuity contract.

Broker John Perrette in J.P. Morgan Securities LLC Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Perrette (Perrette), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perrette 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 $1,770,000.00 on March 03, 2021.

Client alleges Registered Representative failed to follow instructions regarding equity listed investment. Activity date 01/10/2018.

There are Recent Customer Complaints with Broker Gregg Manis in Firm LPL Financial LLC

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 03, 2021.

Claimants alleges that LPL and its registered representative negligently advised their client to purchase assets and make transfers between trusts which violated the terms of the trusts and constituted a breach of fiduciary duty. Plaintiff alleges he suffered financial loss as result of the alleged conduct.

Broker James Thomure in Edward Jones Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

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

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

The client alleges the financial advisor’s failure to follow her instructions to rollover distributions from a qualified annuity resulted in an additional tax liability.