Securities Lawyers Blog

There are Recent Customer Complaints with Broker Timothy Yee in Firm Independent Financial Group, LLC

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Yee (Yee), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yee 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 $126,000.00 on May 05, 2025.

Alleges investment was not suitable and was not in line with her investment objectives.

There are Recent Customer Complaints with Broker Gregory Libby in Firm Morgan Stanley

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Libby (Libby), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Libby 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 $500,000.00 on May 06, 2025.

Claimant alleges, inter alia, that the investments strategy executed in the client’s account was unsuitable – May 2019 to April 2025

There are Recent Customer Complaints with Broker Vincent Dotterweich in Firm Ameriprise Financial Services, LLC

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Dotterweich (Dotterweich), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dotterweich 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 $2,194,871.94 on May 05, 2025.

Plaintiff alleges his advisor assisted Plaintiff’s wife in: opening individual and joint financial accounts in Plaintiff’s name without Plaintiff’s knowledge; preventing Plaintiff from understanding his financial accounts; and withdrawing funds from Plaintiff’s individual and joint accounts without his knowledge.

Broker Frank Hill in Kestra Investment Services, LLC Firm Has Customer Complaint

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Hill (Hill), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 $500,000.00 on May 05, 2025.

Claimants allege that the representative misrepresented and recommended an unsuitable life insurance policy to the pension plan. \, Claimants alleged they would have been better served with a securities portfolio instead of the life insurance policy.

There are Recent Customer Complaints with Broker Kevin Mcbarron in Firm LPL Financial LLC

July 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 07, 2025.

Reg BI: Professional Negligence/Breach of Fiduciary Duty

There are Recent Customer Complaints with Broker Brian Marston in Firm Woodbury Financial Services, INC.

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Marston (Marston), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Marston 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 $150,000.00 on May 05, 2025.

Unsuitable alternative investments are alleged to have been recommended.

Broker Michael Buric in Thrivent Investment Management INC. Firm Has Customer Complaint

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Buric (Buric), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Buric 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 $5,275.47 on May 12, 2025.

Client alleged RR submitted a subaccount transfer without her permission in June 2022.

Broker Andrew Miles in Green Vista Capital, LLC Firm Has Customer Complaint

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Miles (Miles), previously associated with Green Vista Capital, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miles 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 $273,381.00 on May 12, 2025.

Claimants allege breach of fiduciary obligations/duties; breach of contract; Negligence/professional negligence; failure to conduct adequate due diligence; failure to supervise, and violations of both state and federal rules and regulations.

There are Recent Customer Complaints with Broker Cinthia Hoegemeyer in Firm Edward Jones

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cinthia Hoegemeyer (Hoegemeyer), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hoegemeyer 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 $27,773.00 on May 13, 2025.

Client alleges he instructed the branch to set a stop limit order at $105.00, and a limited order was placed, selling the stock at 107.99.

There are Recent Customer Complaints with Broker Dan Bello in Firm Morgan Stanley

July 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 12, 2025.

Client alleges, inter alia, that her advisor made unsuitable investment recommendations to invest in alternative investments and that her financial qualifications were falsified on her account in order for her to be approved to invest 2014-2017