Securities Lawyers Blog

There are Recent Customer Complaints with Broker Edward Brennan in Firm UBS Financial Services INC.

August 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 24, 2026.

FILED IN ERROR – PLEASE REMOVE – PLEASE ARCHIVE\,

Broker Michael Frost in Cetera Advisors LLC Firm Has Customer Complaint

August 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Frost (Frost), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frost 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 $899,060.45 on May 29, 2026.

Customer alleges the registered representative misrepresented investments made from December 2015 through September 2025.

Broker Jeffrey Gundrum in Equitable Advisors, LLC Firm Has Customer Complaint

August 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Gundrum (Gundrum), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gundrum 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 $5,000.00 on June 12, 2026.

Client alleges RR misrepresented the terms of an annuity purchased in 2025 that was unsuitable for their needs.

Broker Mark Reichek in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

August 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 11, 2026.

Client alleges misrepresentation of liquidity information related to private equity securities.

Broker Kenneth Kohn in Equitable Advisors, LLC Firm Has Customer Complaint

August 18, 2026 | by Staff Attorney

Currently financial advisor Kenneth Kohn (Kohn), currently employed by brokerage firm Equitable Advisors, 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 pending customer complaint with a damage request of $5,000.00 on June 08, 2026.

Client alleges unsuitability and misrepresentation by the RR in connection with REITs purchased in 2017 and 2019.

There are Recent Customer Complaints with Broker Robert Smith in Firm Emerson Equity LLC

August 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Smith (Smith), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on June 12, 2026.

Breach of contract and warranties promissory estoppel, consumer protection and deceptive trade practices act, violation of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, Violation of Regulation Best Interest

Broker Paul Mcintyre in Msc – Bd, LLC Firm Has Customer Complaint

August 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Mcintyre (Mcintyre), currently associated with Msc – Bd, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcintyre 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 $350,000.00 on June 12, 2026.

See Claim.

Broker Zachary Bloemen in Hornor, Townsend & Kent, LLC Firm Has Customer Complaint

August 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Bloemen (Bloemen), currently associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bloemen 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 $20,000.00 on March 10, 2020.

The customer alleged that he instructed the representative to make trades which were not executed.

Broker Robert Warren in Hightower Securities, LLC Firm Has Customer Complaint

August 13, 2026 | by Staff Attorney

Currently financial advisor Robert Warren (Warren), currently 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 $200,000.00 on March 11, 2020.

Robert Warren 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 June 2018.

There are Recent Customer Complaints with Broker Melvin Payne in Firm PHX Financial, INC.

August 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melvin Payne (Payne), previously associated with PHX Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Payne 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 $48,732.00 on March 09, 2020.

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