Securities Lawyers Blog

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

November 11, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Justin Gillham (Gillham), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Gillham’s most recent customer complaint alleges that Gillham recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,050,000.00 on July 20, 2022.

The customer alleges that a misrepresentation was made regarding the purchase of a structured note in June of 2021.

There are Recent Customer Complaints with Broker Joseph Chu in Firm RBC Capital Markets, LLC

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Chu (Chu), currently associated with RBC Capital Markets, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Chu 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 $460,000.00 on July 19, 2022.

Unsuitable concentration of energy sector securities

There are Recent Customer Complaints with Broker Erik Hanson in Firm Morgan Stanley

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Hanson (Hanson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hanson 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 $210,000.00 on July 26, 2022.

CLIENT’S ATTORNEY ALLEGED THAT RECOMMENDATION TO INVEST IN BOND FUND WAS NOT IN THE CLIENT’S BEST INTEREST. 2021

Broker Ryan Shoop in Westminster Financial Securities, INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Ryan Shoop (Shoop), currently associated with Westminster Financial Securities, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Shoop concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on July 25, 2022.

The client alleges that the account’s gains of +$198,667 were less than certain market indices. Client also alleges churning and failure to supervise.

Broker Rebecca Fitschen in UBS Financial Services INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 22, 2022.

Time Frame: January 3rd, 2022 to July 22nd, 2022\, \, What were the allegations against the individual? The client alleges he was assured multiple times that his total fees for his managed assets would never exceed 60 basis points. The alleges damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Freddy Garcia in Firm the Leaders Group, INC.

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Freddy Garcia (Garcia), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $146,453.23 on July 25, 2022.

Client claims Freddy Garcia did not follow instructions and is asking for $146,453.23 in compensation.”

Broker Kevin Johnson in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 19, 2022.

Claimants allege unsuitable recommendations, misrepresentation, breach of fiduciary duty, negligence, and failure to supervise.

There are Recent Customer Complaints with Broker Arthur Littlefield in Firm LPL Financial LLC

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Littlefield (Littlefield), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Littlefield 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 $50,000.00 on July 27, 2022.

Claimant alleges their representative recommended an unsuitable investment in an oil and gas program.

There are Recent Customer Complaints with Broker Philip Board in Firm Centaurus Financial, INC.

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Board (Board), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Board 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 $60,000.00 on July 22, 2022.

During the period 2020 through the filing of this arbitration, the customers allege that the Registered Representative misrepresented an unsuitable high-risk, illiquid investment and breached his fiduciary duty.

Broker Tony Hodge in the Leaders Group, INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 26, 2022.

Breach of fiduciary duty, negligence, misrepresentation. Dates are from 2014-2015