Securities Lawyers Blog

Broker Brent Espinoza in Mwa Financial Services INC. Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 04, 2020.

The clients allege that the representative made an unsuitable recommendation for an account that was opened in March 2018. The clients further allege that the representative indicated funds would be interest free upon withdrawal which they later learned was not accurate. The clients have requested that the account be closed.

There are Recent Customer Complaints with Broker Nicholas Wasielewski in Firm Tiaa-cref Individual & Institutional Services, LLC

July 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 05, 2020.

The client alleges that the representative recommended a reduction in the client’s exposure to stocks and bonds on February 14, 2020 and that the representative failed to timely make these changes even after the client indicated in an email to the representative that he wanted to make the changes on March 2, 2020.

Broker Luis Garcia in UBS Financial Services INC. Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Garcia (Garcia), previously associated with UBS Financial Services 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 $120,000.00 on March 04, 2020.

Time frame: Unspecified\<char_lb_r>\, Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Jeffrey Schuh in Northland Securities, INC. Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Schuh (Schuh), previously associated with Northland Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schuh 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 $50,283.77 on March 05, 2020.

Improper management, excessive trading and excessive commissions from approximately 01/01/2015 to 12/31/2019.

Broker Roxann Seaton in Morgan Stanley Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Roxann Seaton (Seaton), previously associated with Morgan Stanley, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Seaton 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 $170,000.00 on March 05, 2020.

Claimant’s POA agent alleged, inter alia, excessive trading with respect to investments. Sept 2012 to Feb 2019

There are Recent Customer Complaints with Broker William Horan in Firm Ameriprise Financial Services, LLC

July 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Horan (Horan), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Horan 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 $13,160.68 on March 03, 2020.

Client alleges purchases in Waitr Holdings (WTHR) were unsuitable, and as a result of the June 12, 2018 and October 2, 2018 purchases she has an unrealized loss of $10,000.00. Client additionally alleges the fee she agreed upon in her signed contract (1.25%) was more than discussed (1.00%)

There are Recent Customer Complaints with Broker Nicholas Cannady in Firm Nylife Securities LLC

July 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 06, 2020.

Customer alleges the Variable Annuity policy she purchased in June 2018 contains a multitude of restrictions that were not clearly explained to her at the time of sale.

Broker Danny Sookram in Equitable Advisors, LLC Firm Has Customer Complaint

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danny Sookram (Sookram), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sookram 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 $86,078.00 on March 09, 2020.

Time frame: unspecified. Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.

Broker Kyle Roelofs in Lincoln Financial Advisors Corporation Firm Has Customer Complaint

July 30, 2026 | by Staff Attorney

Previously financial advisor Kyle Roelofs (Roelofs), previously employed by brokerage firm Lincoln Financial Advisors Corporation has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint on March 05, 2020.

Client alleges the RR sold unsuitable high-risk private placement investments

Broker Robert Buffington in Aegis Capital Corp. Firm Has Customer Complaint

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Buffington (Buffington), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Buffington 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 $642,224.00 on March 09, 2020.

Time frame: unspecified. Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.