Securities Lawyers Blog

Broker David Becker in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2021.

Claimant alleges suitability, fraud, breach of contract, negligent supervision breach of contract, and negligence related to purchase of alternative investment

There are Recent Customer Complaints with Broker Timothy Seymour in Firm the Benchmark Company, LLC

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Seymour (Seymour), previously associated with the Benchmark Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Seymour 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 $30,000.00 on August 06, 2021.

12/2018 to 6/2019: The Plaintiff asserted civil claims against the many Defendants, including Timothy Seymour, concerning the solicitation of investments in Millennia Shares, LLC and the operation of Millennia Shares, LLC, an entity where Timothy Seymour was not a Member.

There are Recent Customer Complaints with Broker Mark Wolanyk in Firm IBN Financial Services, INC.

January 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $825,000.00 on August 06, 2021.

Claimants allege misrepresentation and insufficient information in recommendation of product on or about February 2022.

Broker Ben Putman in Independent Financial Group, LLC Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ben Putman (Putman), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Putman 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 $52,000.00 on August 06, 2021.

ALLEGE INVESTMENT WAS NOT SUITABLE

Broker Keith Patterson in Cetera Wealth Services, LLC Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Patterson (Patterson), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patterson 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 $5,000.00 on August 05, 2021.

Claimants alleged unsuitability of alternative investment which caused financial harm. The allegations include unsuitability, fraud, breach of contract, breach of fiduciary duty, negligence and violation of laws.

Broker Paul Drolson in First Allied Securities, INC. Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2021.

Claimant generally alleges suitability, breach of contract, negligent supervision, and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Frederick Atiyeh in Firm LPL Financial LLC

January 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2021.

The customer alleges lack of proper due diligence, lack of suitability and over concentration in regards to investments in alternative and variable annuity products.

Broker Steven Schwartz in National Securities Corporation Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Schwartz (Schwartz), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Schwartz 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 $200,000.00 on August 12, 2021.

Attorney for clients claims investment strategy was not suitable.

There are Recent Customer Complaints with Broker Kenneth Biebel in Firm A.g.p. / Alliance Global Partners

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Biebel (Biebel), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Biebel 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 $17,100.19 on August 17, 2021.

Unsuitability

Broker John Gibson in Hightower Securities, LLC Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

Previously financial advisor John Gibson (Gibson), previously employed by brokerage firm Hightower Securities, LLC 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 with a damage request of $100,001.00 on August 18, 2021.

John Gibson is the subject of a FINRA arbitration alleging certain sales practice violations, including a violation of suitability obligations, in connection with a private placement investment made on or around February 2019, currently required to be disclosed pursuant to FINRA guidance. FINRA arbitration for this matter is still pending, and the FINRA arbitration tribunals have not yet finalized its evaluation of the client’s statement of claim. In keeping with FINRA’s disclosure requirements, this arbitration is required to be disclosed before Mr. Gibson can defend his actions.