Securities Lawyers Blog

Broker Andrew Mccausland in Ausdal Financial Partners, INC. Firm Has Customer Complaint

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Mccausland (Mccausland), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mccausland 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 $50,000.00 on April 11, 2023.

Unsuitable Investments; Misleading Investment recommendations related to purchases of GWG L bonds for the period between February 2019 and June 2020.

There are Recent Customer Complaints with Broker James Bardin in Firm Principal Securities, INC.

September 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 10, 2023.

The client alleges the financial professional misrepresented the variable life insurance product sold to him, which he now believes was unsuitable, resulting in a loss of return on his investment and unknown tax consequences.

There are Recent Customer Complaints with Broker William Notrica in Firm Aegis Capital Corp.

September 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 11, 2023.

Customer alleges unsuitable investments and unreasonably high commissions and fees

There are Recent Customer Complaints with Broker Colin Pomer in Firm MML Investors Services, LLC

September 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 17, 2023.

The complainant alleges that his registered representative sold stock, without his authorization, in or around, May 2022, and as a result, has incurred a tax liability. The complainant also states that he was sold life insurance he did not need, and he paid fees for financial planning, that were not justified for the services provided.

There are Recent Customer Complaints with Broker Angela Spears in Firm Nylife Securities LLC

September 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Spears (Spears), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spears 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 $13,588.54 on April 12, 2023.

The customer alleged the terms of the fixed annuity were misrepresented when she purchased it in or around January 2021 with proceeds from a rollover 401k held at Fidelity Investments.

There are Recent Customer Complaints with Broker Joshua Westerman in Firm Morgan Stanley

September 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 13, 2023.

Client’s attorney alleges, inter alia, that investments and strategy recommended by FA were unsuitable, 2021-2023

Broker Julian Rodriguez in Innovation Partners LLC Firm Has Customer Complaint

September 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julian Rodriguez (Rodriguez), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 $35,555.00 on April 13, 2023.

In the financial industry advisors must meet the requirements of the SEC’s Regulation Best Interest (Reg BI) in providing investment advice and services. Reg BI established a ‘best interest’ standard for brokerage firms and registered representatives. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts.

There are Recent Customer Complaints with Broker Stuart Huckin in Firm Truist Investment Services, INC.

September 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stuart Huckin (Huckin), previously associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Huckin 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 $21,000.00 on April 17, 2023.

Customer alleges advisor did not place trade as instructed.

There are Recent Customer Complaints with Broker Kenneth Baize in Firm LPL Financial LLC

September 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Baize (Baize), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baize 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 $500,000.00 on April 13, 2023.

On July 17, 2018 client purchased a $500,000 7 year bond with GWG Holdings. GWG Holdings defaulted on interest payments in February 2022 and filed for Chapter 11 bankruptcy reorganization in April of 2022. GWG has a court approved Joint Chapter 11 Plan with assets in a wind down trust.

Broker Christie Caliva in Commonwealth Financial Network Firm Has Customer Complaint

September 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christie Caliva (Caliva), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Caliva 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 12, 2023.

Client alleging investment in Franklin Square Investment Corp. III was unsuitable.