Securities Lawyers Blog

Broker Becky Mathre in D.h. Hill Securities, Lllp Firm Has Customer Complaint

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Becky Mathre (Mathre), previously associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Mathre 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 $1,000,000.00 on November 02, 2021.

Claimant alleges violation of FINRA rules 2110 and 2111, negligence, misrepresentation, breach of fiduciary duty, and failure to supervise.

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

January 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 27, 2021.

The Personal Representative alleges that the Financial Advisor failed to obtain the proper Transfer on Death form in order to have the accounts successfully transferred upon decedent’s death

Broker Kermit Griner in Nylife Securities LLC Firm Has Customer Complaint

January 19, 2026 | by Staff Attorney

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

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

Attorney for the Estate of Fay Cannamela and its representatives/beneficiaries questions the suitability of variable and fixed annuity transactions between 1997 and 2005 and alleges that the signatures on several forms do not match his clients’ authentic signatures.

There are Recent Customer Complaints with Broker David Meacham in Firm LPL Financial LLC

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Meacham (Meacham), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meacham 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 $137,000.00 on November 04, 2021.

According to a Form U5 Amendment filed by Centaurus, during the period January 2015 through September 2015, the customers allege that the Registered Representative recommended high-risk, high commission and illiquid investments.

Broker Neal Nakagiri in Npb Financial Group, LLC Firm Has Customer Complaint

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neal Nakagiri (Nakagiri), previously associated with Npb Financial Group, LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Nakagiri 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 November 02, 2021.

Due Diligence failures, Breach of fiduciary duty, breach of expressed/implied contract and breach of duty of good faith and fair dealing, negligence, and failure to supervise.

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

January 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 27, 2021.

The Personal Representative alleges that the Financial Advisor failed to obtain the proper Transfer on Death form in order to have the accounts successfully transferred upon decedent’s death.

There are Recent Customer Complaints with Broker William Harvey in Firm Edward Jones

January 18, 2026 | by Staff Attorney

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

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

The client alleges the financial advisor failed to follow instructions and place trades.

Broker Daniel Drahos in Stirlingshire Investments Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Daniel Drahos (Drahos), currently associated with Stirlingshire Investments, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Drahos 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 with a damage request of $25,918.00 on November 05, 2021.

Churning of account and unsuitable while at Worden Capital Management. Mr Drahos was not employed by Monmouth Capital Management until October 2021 and the individuals were served on 8/23/2021 . The claims against WCM was for excessive trading, insuitable recommendations and failure to supervise the represesantative

There are Recent Customer Complaints with Broker Heather Cagle in Firm Nylife Securities LLC

January 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2021.

Customer alleges that she and her late husband did not sign an electronic application for an employee whole life insurance policy in April 2021

Broker Taylor Leary in Forta Financial Group, INC. Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Taylor Leary (Leary), previously associated with Forta Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Leary 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 November 05, 2021.

Claimant’s allegations against Respondents FORTA FINANCIAL GROUP, INC. f/k/a PRESIDENTIAL BROKERAGE, INC. and Mr. Leary included: negligence, professional negligence, violations of law, unsuitable recommendations, negligent supervision, breach of contract, breach of fiduciary duty, and breach of securities industry rules and regulations. Mr. Leary denied any wrongdoing on his part, but ultimately the Respondents made the business decision to settle the case in order to avoid the costs and disruption associated with litigating this matter through arbitration.