Securities Lawyers Blog

There are Recent Customer Complaints with Broker Edward Engler in Firm Fifth Third Securities, INC.

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Engler (Engler), currently associated with Fifth Third Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Engler 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 $16,609.38 on July 13, 2022.

Client alleged misrepresentation of product

There are Recent Customer Complaints with Broker Aileen Schruth in Firm UBS Financial Services INC.

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aileen Schruth (Schruth), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Schruth 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 $301,883.80 on July 13, 2022.

Time Frame: May 21, 2021 to July 1, 2022\, \, What were the allegations against the individual? \, \, The POA alleges he did not provide instructions to execute a trade.

Broker Seth Waltman in M. S. Howells & CO. Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Waltman (Waltman), currently associated with M. S. Howells & CO., has at least one disclosable event. These events include one customer complaint, alleging that Waltman 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 $318,167.80 on July 14, 2022.

[REDACTED] ALLEGES THAT HE DID NOT AUTHORIZE SETH WALTMAN, REGISTERED REPRESENTATIVE, TO REALLOCATE HIS VARIABLE ANNUITY SUB-ACCOUNTS IN MARCH 2020

Broker Bikram Mehta in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bikram Mehta (Mehta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mehta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 12, 2022.

The customer alleges the unauthorized purchase of stocks and failure to follow instructions in January/February 2022.

There are Recent Customer Complaints with Broker Nathan Cedarleaf in Firm Cetera Investment Services LLC

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Cedarleaf (Cedarleaf), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cedarleaf 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 $4,000,000.00 on July 13, 2022.

Cedarleaf was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of contract; negligent and reckless misrepresentation; breach of fiduciary duty or alternatively, aiding and abetting a breach of fiduciary duties; violation of Section 10(b)(5) of the Securities Act of 1934; and South Carolina Securities Act violations.

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

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Kitchener (Kitchener), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kitchener recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 15, 2022.

The customer alleges failure to follow instructions from February of 2022 until July of 2022.

Broker Keith Weik in Edward Jones Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 15, 2022.

The client alleges the financial advisor failed to follow instructions to liquidate accounts.

There are Recent Customer Complaints with Broker Mei Guo in Firm Cetera Investment Services LLC

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mei Guo (Guo), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guo 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 $500,000.00 on July 15, 2022.

Claimant alleges registered representative overconcentrated their portfolio in unsuitable investments that resulted in losses.

There are Recent Customer Complaints with Broker Todd Scorzafava in Firm LPL Financial LLC

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Scorzafava (Scorzafava), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Scorzafava 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 July 11, 2022.

The client alleged that the former representative provided unsuitable investment advice and did not fully disclose material elements of a recommended transaction, resulting in losses to the client.

Broker Murtaza Sardharwala in First Command Brokerage Services, INC. Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Murtaza Sardharwala (Sardharwala), previously associated with First Command Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sardharwala 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 $9,122.27 on July 18, 2022.

Customer filed a complaint in the US District Court for the Eastern District of Virginia, Alexandria Division, claiming damages of $9,122.27 plus punitive fees, etc. Customer alleges that, between 2018 and 2019, defendants (including the firm and certain firm representatives) delayed in assisting him to reregister a joint account after the other joint owner passed away, which resulted in losses due to market fluctuation. On July 8, 2022, customer filed a motion to amend the above-referenced complaint to add Murtaza Sardharwala as an additional defendant on the basis that Mr. Sardharwala, in his role as vice president and attorney, allegedly directed the firm’s actions and legal responses to customer. On July 18, 2022, Mr. Sardharwala received a letter from customer advising him that customer had filed such motion with the Court. The Court did not take action with respect to such motion and the case was subsequently settled between the firm and customer on March 29, 2023.