Securities Lawyers Blog

There are Recent Customer Complaints with Broker Michael Sherrill in Firm Morgan Stanley

September 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on March 30, 2023.

Claimants allege, inter alia, unsuitability with respect to managed account – 2019 to 2022

There are Recent Customer Complaints with Broker Cathie Joughin in Firm Ameriprise Financial Services, LLC

September 13, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Cathie Joughin (Joughin) 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 Joughin was employed by Ameriprise Financial Services, LLC at the time of the activity. If you have been a victim of Joughin’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on March 30, 2023.

Claimant alleges that on or about late 2019 and early 2020, his father fell victim to elder abuse and misappropriation by his Financial Advisor (FA).

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

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Ryall (Ryall), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ryall recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 28, 2023.

Clients allege financial advisor recommended an unsuitable investment strategy and misrepresented the risks associated with it.

There are Recent Customer Complaints with Broker Craig Zimmerman in Firm U.S. Bancorp Investments, INC.

September 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $700,000.00 on April 06, 2023.

Claimant alleged that RR recommended an unsuitable investment strategy and did not disclose all materials facts associated with the strategy.

Broker Thomas Tippmann in Nylife Securities LLC Firm Has Customer Complaint

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Tippmann (Tippmann), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tippmann 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 $3,860.59 on April 03, 2023.

The customer alleges she did not sign the policy illustration revision or policy delivery receipt for her whole life insurance policy that she purchased in or around February 2019.

There are Recent Customer Complaints with Broker Justin Valenti in Firm Nylife Securities LLC

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Valenti (Valenti), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valenti 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 $3,860.59 on April 03, 2023.

The customer alleges he did not sign the revised policy illustration document or policy delivery receipt for his whole life insurance policy he purchased in or around November 2018.

There are Recent Customer Complaints with Broker Adam Corwin in Firm Cetera Advisors LLC

September 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 04, 2023.

The complainant alleges that, beginning in or around 2019, the rep was involved in a matter where unsuitable recommendations and material misrepresentations were made in relation to annuity products and fraudulent real estate investments, which resulted in financial harm to the complainant.

Broker William Huff in Hornor, Townsend & Kent, LLC Firm Has Customer Complaint

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Huff (Huff), currently associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huff 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 $130,000.00 on April 03, 2023.

Unsuitable investment

There are Recent Customer Complaints with Broker David Schneider in Firm Morgan Stanley

September 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 03, 2023.

Claimant alleges, inter alia, unsuitability with regards to investments in account from 2021 through 2022.

There are Recent Customer Complaints with Broker Thomas Shultz in Firm Realta Equities, INC.

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Shultz (Shultz), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shultz 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 $40,000.00 on April 05, 2023.

The customer alleged damages related to an investment solicited by Mr. Shultz.