Securities Lawyers Blog

Broker Richard Diaz in Principal Securities, INC. Firm Has Customer Complaint

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Diaz (Diaz), previously associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Diaz 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 August 10, 2020.

The Trustee alleges the Trust lost money due to the representative’s failure to execute instructions to [REDACTED] accounts prior to his death.

Broker Mark Nicholson in D.a. Davidson & CO. Firm Has Customer Complaint

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Nicholson (Nicholson), currently associated with D.a. Davidson & CO., has at least one disclosable event. These events include one customer complaint, alleging that Nicholson 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 $90,000.00 on August 10, 2020.

Client expressed concern that the liquidation of her non-qualified variable annuity resulted in a $90,000 tax bill. 10/21/19 – 8/5/2020

Broker Brett Jenson in Osaic Wealth, INC. Firm Has Customer Complaint

April 24, 2026 | by Staff Attorney

Currently financial advisor Brett Jenson (Jenson), currently employed by brokerage firm Osaic Wealth, INC. 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 on August 06, 2020.

Claimant alleges RR sold unsuitable investments, including several non-traded REITs.

Broker Anthony Abrams in Woodbury Financial Services, INC. Firm Has Customer Complaint

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Abrams (Abrams), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Abrams 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 $15,000.00 on August 07, 2020.

Customer alleges unauthorized trading of accounts.

There are Recent Customer Complaints with Broker David Volpe in Firm First Financial Equity Corporation

April 24, 2026 | by Staff Attorney

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

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

Claimant alleges that between 2015 and April 2019, representative converted her funds by liquidating her accounts for his own personal use and by requesting claimant to write personal checks to him.

There are Recent Customer Complaints with Broker Pedro J Pons in Firm UBS Financial Services Incorporated of Puerto Rico

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pedro J Pons (Pons), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Pons 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 $90,000.00 on August 11, 2020.

Time frame: Unspecified\<char_lb_r>\, Claimants allege the recommendation to invest in and hold Puerto Rico Closed-End Funds was unsuitable and that their account was over-concentrated in these investments. Claimants also allege that the risk of investing in and concentration in Puerto Rico investments was misrepresented.

There are Recent Customer Complaints with Broker Jeffrey Olson in Firm Northland Securities, INC.

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Olson (Olson), previously associated with Northland Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Olson 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 $906,374.66 on August 07, 2020.

Claimants allege violation of federal securities laws, violation of Minnesota Securities Act, violation of Minnesota’s Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence.

There are Recent Customer Complaints with Broker Ahmet Kildis in Firm Fifth Third Securities, INC.

April 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on August 10, 2020.

Claimants, as attorneys-in-fact, allege that representative failed to properly process beneficiary documentation.

There are Recent Customer Complaints with Broker Billy Martin in Firm Cetera Advisors LLC

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Billy Martin (Martin), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 August 07, 2020.

Customers allege that the representative made unsuitable investment recommendations.

Broker Brent Bunger in Integrity Alliance, LLC. Firm Has Customer Complaint

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Bunger (Bunger), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Bunger 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 $850,000.00 on August 10, 2020.

Unsuitable recommendations, material misrepresentatins, elder abuse