Securities Lawyers Blog

There are Recent Customer Complaints with Broker David Connors in Firm Purshe Kaplan Sterling Investments

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Connors (Connors), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Connors 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 March 09, 2021.

From 2020 through 2021, Client alleges that Mr. Connors failed to disclose moving funds from an IRA DBA to a non-qualified variable annuity would trigger a taxable event.

There are Recent Customer Complaints with Broker Jose Iguina Hernandez in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Iguina Hernandez (Iguina Hernandez), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Iguina Hernandez 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 March 11, 2021.

Client allege investments were unsuitable.

Broker Alexander De Oliveira in Raymond James & Associates, INC. Firm Has Customer Complaint

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander De Oliveira (De Oliveira), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that De Oliveira 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 $1,457,700.00 on March 12, 2021.

Claimant alleged, inter alia, misrepresentation with respect to recommendation to utilize Liquidity Access Line to borrow funds and assurance that earnings generated from the holdings in his brokerage account would cover the interest payments on the Line.

Broker Tim Gerds in J.w. Cole Financial, INC. Firm Has Customer Complaint

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tim Gerds (Gerds), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gerds 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 $150,000.00 on March 09, 2021.

Customer alleged unauthorized sale of stock to purchase fixed annuity and unjustified advisory fees charged with limited trading in managed accounts.

Broker Adam Sellens in Aeon Capital Inc Firm Has Customer Complaint

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Sellens (Sellens), previously associated with Aeon Capital Inc, has at least one disclosable event. These events include one customer complaint, alleging that Sellens 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 March 10, 2021.

Failure of due diligence\<char_lb_r>\, Misrepresentation, omissions, unsuitable recommendations

There are Recent Customer Complaints with Broker David Obedin in Firm Cetera Wealth Services, LLC

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Obedin (Obedin), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Obedin 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 March 10, 2021.

Client alleges that a delay in a rollover transaction between January and April 2020 resulted in losses in her account.

Broker Robert Stanlick in LPL Financial LLC Firm Has Customer Complaint

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Stanlick (Stanlick), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stanlick 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 $110,000.00 on March 08, 2021.

Boilerplate allegations include breach of fiduciary duty, negligence and unsuitability between May 2012 and January 2021.

Broker Mandy Rofe in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 27, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Mandy Rofe (Rofe), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Rofe 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 on March 11, 2021.

The attorney representing the customer alleges unsuitable investment recommendations and churning.

There are Recent Customer Complaints with Broker David Hairston in Firm Osaic Fs, INC.

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Hairston (Hairston), previously associated with Osaic Fs, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hairston 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 $23,868.00 on March 10, 2021.

The representative recommended a 1035 exchange and did not realize the outstanding loan balance would cause a taxable event.

Broker George Warner in Chelsea Financial Services Firm Has Customer Complaint

February 27, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker George Warner (Warner) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Warner was employed by Chelsea Financial Services at the time of the activity. If you have been a victim of Warner’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on March 09, 2021.

Without admitting or denying the findings, Warner consented to the sanction and to the entry of findings that he failed to produce information or documents requested by FINRA in connection with an investigation into his potential participation in undisclosed private securities transactions.