Securities Lawyers Blog

Broker Christopher Schofield in Morgan Stanley Firm Has Customer Complaint

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Schofield (Schofield), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Schofield 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 December 13, 2022.

Claimant alleges, inter alia unsuitability with respect to investments and Liquidity Access Line

There are Recent Customer Complaints with Broker Mark Augusta in Firm Hilltop Securities INC.

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Augusta (Augusta), currently associated with Hilltop Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Augusta 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 $300,000.00 on April 02, 2025.

[REDACTED] bring these claims against HTS and Mark Augusta for investing in what they thought were suitable investments that would meet the needs and goals of income and principal protection. They claim a loss of $300,000. They claim negligence, breach of fiduciary duty, failure to supervise, breach of contract, misrepresentation, negligent hiring, and violations of FINRA&#39;s conduct rules

There are Recent Customer Complaints with Broker John Moy in Firm Newbridge Securities Corporation

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Moy (Moy), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Moy 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 December 13, 2022.

Breach of Fiduciary Duty, Negligence, Negligent Supervision, Fraud, Breach of Contract

Broker Mustapha Fawal in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 13, 2025.

Customer alleges misrepresentation of interest rate in June 2025.

There are Recent Customer Complaints with Broker Shane Desherlia in Firm Moloney Securities Co., INC.

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Desherlia (Desherlia), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Desherlia 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 $192,000.00 on July 28, 2025.

Suitability/negligence. 2017-2021

There are Recent Customer Complaints with Broker Susan Butler in Firm Edward Jones

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Butler (Butler), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $31,000.00 on September 23, 2025.

The client alleges FA misappropriated funds in the amount of $31,000.00.

Broker Adrian Przyboro in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 16, 2025.

Client verbally complained that securities were not sold prior to enrollment into a third party managed account, delaying the inception. Client requests reimbursement for lost interest income caused by the delay. (3/27/2025-12/3/2024)

There are Recent Customer Complaints with Broker Amy Zwaan in Firm Alexander Capital, L.p.

November 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 19, 2025.

Claimants allege breach of fiduciary duty and engaging in prohibited transactions with respect to an ERISA plan from 2023-2024.

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

November 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 29, 2025.

Client alleges misrepresentation of tax consequences related to the surrender of variable universal life insurance policies.

There are Recent Customer Complaints with Broker Michael Montalvo in Firm Raymond James & Associates, INC.

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Montalvo (Montalvo), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Montalvo 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 June 09, 2025.

Client alleged Financial Advisor took an undisclosed loan and failed to repay. Allegation Activity Date: 10/31/2024.