Securities Lawyers Blog

There are Recent Customer Complaints with Broker Phillip Wight in Firm LPL Enterprise, LLC

January 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 19, 2021.

Customer alleges that in June 2021, she was misled into purchasing a variable annuity that was not appropriate for her age and financial needs.

Broker John Conroy in Andrew Garrett INC. Firm Has Customer Complaint

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Conroy (Conroy), previously associated with Andrew Garrett INC., has at least one disclosable event. These events include one customer complaint, alleging that Conroy 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 $118,000.00 on November 16, 2021.

Alleged allegations STATUTORY AND COMMON LAW FRAUD, NEGLIGENCE, BREACH OF CONTRACT\<char_lb_r>\, BREACH OF FIDUCIARY DUTY

There are Recent Customer Complaints with Broker Michael Sharp in Firm J. Alden Associates, INC.

January 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 15, 2021.

Claimants alleged the alternative investments they purchased in years 2013, 2014 and 2015 were misrepresented and not suitable.

Broker Matthew Lawson in LPL Financial LLC Firm Has Customer Complaint

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Lawson (Lawson), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Lawson 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 $3,000,000.00 on November 16, 2021.

Claimant alleges that FAs misrepresented that her grandfather, a client of the same FAs, had setup a trust account for her with the FAs as trustees and that she believes account had been setup in her name and that FAs misrepresented that it was a trust to hide their alleged conversion of funds from the account

There are Recent Customer Complaints with Broker Douglas Cash in Firm LPL Financial LLC

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Cash (Cash), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cash 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 22, 2021.

Customer alleges that between November 2014 and November 2021, representative recommended an investment in the Northstar Healthcare Income Fund that were unsuitable for the customer’s investment profile and risk tolerance.

There are Recent Customer Complaints with Broker Charles Dixon in Firm Sagepoint Financial, INC.

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Dixon (Dixon), previously associated with Sagepoint Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dixon 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 $99,999.00 on November 18, 2021.

Claimant’s allegations include but are not limited to breach of fiduciary duty and negligence with regard to the sale of alternative investments.

Broker Jack Jones in Osaic Wealth, INC. Firm Has Customer Complaint

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Jones (Jones), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jones 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 22, 2021.

CLAIMANTS ALLEGE THAT A RECOMMENDATION OF A PRIVATE PLACEMENT INVESTMENT DID NOT MEET THEIR NEEDS AND OBJECTIVES, WAS NOT ADEQUATELY DISCLOSED, AND THAT THE FIRM DID NOT CONDUCT ADEQUATE DUE DILIGENCE ON THE OFFERING.

There are Recent Customer Complaints with Broker Michael Mawby in Firm International Assets Advisory, LLC

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mawby (Mawby), previously associated with International Assets Advisory, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mawby 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 $545,000.00 on November 18, 2021.

Plaintiff alleges that money was withdrawn from the trust without consent of the trustees. Civil suit alleges breach of fiduciary duty, theft, fraud, receiving stolen property, and negligence. July 2020.

There are Recent Customer Complaints with Broker Michael Maloney in Firm First Allied Securities, INC.

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Maloney (Maloney), previously associated with First Allied Securities, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Maloney 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 22, 2021.

Claimants allege their financial adviser recommended investments that were unsuitable for them. Claimant generally alleges suitability, overconcentration, fiduciary duty, and failure to supervise.

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

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Brookfield (Brookfield), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Brookfield 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 $7,000,000.00 on November 15, 2021.

January 2016 to Mid-2019\, \, Claimants’ counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.