Securities Lawyers Blog

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

January 18, 2026 | by Staff Attorney

Previously financial advisor Maureen Schulde (Schulde), previously employed by brokerage firm Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 $25,000.00 on November 08, 2021.

Client alleges breach of fiduciary duty related to unsuitable recommendation of non-traded REIT.

Broker Randall Raymond in Osaic Wealth, INC. Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Raymond (Raymond), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Raymond 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 10, 2021.

Customer alleges breach of fiduciary duty, negligence, and breach of contract with regard to the sale of GPB Automotive Portfolio, LP

There are Recent Customer Complaints with Broker John Van Wambeke in Firm Ameriprise Financial Services, LLC

January 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 12, 2021.

Claimant alleges that Respondents failed to timely or appropriately update the beneficiaries on her ex-husband’s accounts in 2013.

There are Recent Customer Complaints with Broker Charles Ingle in Firm Edward Jones

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Ingle (Ingle), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Ingle 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 $48,000.00 on November 08, 2021.

The client alleges the financial advisor failed to follow his instructions regarding the dollar amount of mutual funds to be sold in his account.

There are Recent Customer Complaints with Broker Robert Dunnavant in Firm the O.n. Equity Sales Company

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Dunnavant (Dunnavant), previously associated with the O.n. Equity Sales Company, has at least one disclosable event. These events include one customer complaint, alleging that Dunnavant 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 $150,000.00 on November 12, 2021.

Clients allege they were sold illiquid and unsuitable investments

Broker Roy Budd in Morgan Stanley Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Budd (Budd), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Budd 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 08, 2021.

Claimant alleges, inter alia, unsuitability with respect to concentrated investment in managed account – April, 2019.

There are Recent Customer Complaints with Broker Joshua Stier in Firm Charles Schwab & Co., INC.

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Stier (Stier), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Stier 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 $48,008.00 on November 17, 2021.

Client alleges that instructions provided to the representative to buy to close 11 Tesla contracts were not followed, resulting in a monetary loss.

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

January 17, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Lefranc Joseph (Joseph) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Joseph was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity. If you have been a victim of Joseph’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on November 15, 2021.

LeFranc Joseph who was not a named party to the action. Joseph’s name did not appear in the body of the SOC, however, DLA made a best efforts attempt and confirmed that he was the IC who sold the investments at issue in the SOC. The allegations do not include misappropriation, forgery, theft or conversion of funds or securities. Allegation period December 22, 2015 to November 15, 2021

There are Recent Customer Complaints with Broker Kevin Nanthrup in Firm Ameriprise Financial Services, LLC

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Nanthrup (Nanthrup), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nanthrup 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 $23,291.10 on November 16, 2021.

The client alleged her advisor did not follow her instructions regarding how a variable annuity purchase was to be funded in July 2020.

There are Recent Customer Complaints with Broker Brian Turner in Firm Wells Fargo Clearing Services, LLC

January 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 22, 2021.

Claimants allege that around December 2020, the FA recommended unsuitable stocks.