Securities Lawyers Blog

There are Recent Customer Complaints with Broker Robert Paterson in Firm Truist Investment Services, INC.

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Paterson (Paterson), previously associated with Truist Investment Services, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Paterson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 30, 2021.

Respondent Paterson failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Edgar Hull in Firm UBS Financial Services INC.

January 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2021.

Time Frame: October 1, 2021 to October 4, 2021\, The client alleges a failure to liquidate his shares as instructed. The client further alleges his share were sold at a price well below what he authorized and that he was not a party to that decision to sell at that price.

Broker Chad Mackland in Lion Street Financial, LLC Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Mackland (Mackland), previously associated with Lion Street Financial, LLC, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Mackland recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 30, 2021.

The Securities and Exchange Commission (‘Commission’) deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 (‘Exchange Act’) and Section 203(f) of the Investment Advisers Act of 1940 (‘Advisers Act’) against Chad Thomas Mackland (‘Mackland’ or ‘Respondent’).\<char_lb_r>\, \<char_lb_r>\, The Commission finds that during most of the period from April 2017 to February 2020, Mackland was associated with various broker-dealers (as a registered representative) and investment advisers (as an investment adviser representative) that were registered with the Commission.\<char_lb_r>\, \<char_lb_r>\, On July 9, 2021, the Iowa Insurance Commissioner entered a final order against Mackland (the ‘Iowa Order’) that barred Mackland from applying for registration in Iowa as an investment adviser, investment adviser representative or as a securities agent; permanently revoked his Iowa resident insurance producer license; and permanently prohibited him from engaging in the insurance business in Iowa. \<char_lb_r>\, \<char_lb_r>\, According to the Iowa Order, the County Attorney’s Office in Pottawattamie, Iowa, charged Mackland with multiple felonies related to insurance sales practices. Mackland entered an Alford/guilty plea to the charge of Ongoing Criminal Conduct, which involved fraudulent sales practices and/or theft by deception on a continuing basis during the period August 2017 through August 2020. Following his guilty plea, Mackland was sentenced to a deferred judgment.

Broker Michael Harris in Morgan Stanley Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2021.

PARTNER ON FAMILY LP ALLEGES THAT ADVISORY ACCOUNT FEES WERE NOT PROPERLY DISCLOSED DAMAGES UNSPECIFIED 2011 – 2021

Broker Gloria Lakritz in J.w. Cole Financial, INC. Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

Previously financial advisor Gloria Lakritz (Lakritz), previously employed by brokerage firm J.w. Cole Financial, INC. 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 $100,000.00 on September 30, 2021.

Client alleges REITs purchased were unsuitable.

Broker James Mossholder in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 04, 2021.

Claimant alleges that Wells Fargo by and through the Financial Advisor (FA) did negligent recommendations leading to significant financial losses.

There are Recent Customer Complaints with Broker Gregory Rachele in Firm H.d. Vest Investment Services

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Rachele (Rachele), previously associated with H.d. Vest Investment Services, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Rachele recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 29, 2021.

Respondent Rachele failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Adam Weirich in Firm Equitable Advisors, LLC

January 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 29, 2021.

Claimant alleges RR made unsuitable recommendations in the purchase of alternative investments between 2012 and 2014.

Broker Jeffrey Hallin in Cetera Advisor Networks LLC Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

Previously financial advisor Jeffrey Hallin (Hallin), previously employed by brokerage firm Cetera Advisor Networks 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 $30,000.00 on October 04, 2021.

Claimant alleges that their registered representative recommended unsuitable investments, including non-traded REITs.

Broker Lee Nordstrom in LPL Financial LLC Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Lee Nordstrom (Nordstrom), previously associated with LPL Financial LLC, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Nordstrom concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a final customer complaint on October 01, 2021.

Without admitting or denying the findings, Nordstrom consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA during the course of an investigation into whether he engaged in potential unsuitable and excessive trading in several customer accounts.