Securities Lawyers Blog

There are Recent Customer Complaints with Broker Daniel Mcgowan in Firm Benchmark Investments, INC.

February 1, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Daniel Mcgowan (Mcgowan), previously associated with Benchmark Investments, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Mcgowan 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 $34,000.00 on July 19, 2021.

Claimant alleges: excessive trading, unauthorized trading, unsuitability, breach of contract, breach of fiduciary duty, negligence

Broker Joseph Baldassarra in Newbridge Securities Corporation Firm Has Customer Complaint

February 1, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joseph Baldassarra (Baldassarra), previously associated with Newbridge Securities Corporation, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Baldassarra 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 $34,000.00 on July 19, 2021.

Claimant alleges: excessive trading, unauthorized trading, unsuitability, breach of contract, breach of fiduciary duty, negligence

There are Recent Customer Complaints with Broker Daniel Jones in Firm LPL Financial LLC

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Jones (Jones), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $120,000.00 on July 13, 2021.

Claimant alleges unsuitable REIT investments.

Broker David Beam in Lincoln Financial Securities Corporation Firm Has Customer Complaint

February 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 16, 2021.

The client and his new advisor allege that the variable annuity he purchased in November 2015 was unsuitable.

There are Recent Customer Complaints with Broker Todd Bessey in Firm Wintrust Investments LLC

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Bessey (Bessey), previously associated with Wintrust Investments LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bessey 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 19, 2021.

Claim alleges lack of suitability, misrepresentation, and failure to perform adequate due diligence in that clients were overconcentrated in high-risk, illiquid alternative investments to maximize commissions that were risky and as a result clients suffered substantial losses.

Broker Bruce Dowell in Nylife Securities LLC Firm Has Customer Complaint

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Dowell (Dowell), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dowell 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, 2021.

Customer alleges that explanations of fees and variable annuities purchased from October 2016 to February 2021 were not forthcoming.

There are Recent Customer Complaints with Broker John Leonard in Firm Wells Fargo Advisors

February 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 20, 2021.

Claimant alleges that from 2012 and 2016, the FA made unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Stephanie Lampley in Firm PFS Investments INC.

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Lampley (Lampley), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Lampley 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 $5,709.00 on July 14, 2021.

A CLIENT ALLEGED THAT THE REPRESENTATIVE PROVIDED INCORRECT INFORMATION FOR A ROLLOVER OF FUNDS FROM A STATE EMPLOYEE RETIREMENT PLAN, WHICH LED TO THAT CLIENT INCURRING TAX CONSEQUENCES

There are Recent Customer Complaints with Broker Patrick Mead in Firm Equitable Advisors, LLC

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Mead (Mead), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mead 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 $250,000.00 on July 15, 2021.

Claimant generally alleges suitability, common law fraud, breach of contract, negligence, and breaches of duty and contract.

There are Recent Customer Complaints with Broker Stephen Angelis in Firm LPL Financial LLC

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Angelis (Angelis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Angelis 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 $350,000.00 on July 15, 2021.

April 2019-2021