Securities Lawyers Blog

Broker Angel Barnes in PFS Investments INC. Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angel Barnes (Barnes), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Barnes 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 07, 2020.

Customer alleges that his purchase of mutual funds in 2017 was not suitable

There are Recent Customer Complaints with Broker James Hauser in Firm Edward Jones

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hauser (Hauser), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hauser 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 $25,270.00 on April 06, 2020.

Client alleges the liquidation of her variable annuity in 2019 was not suitable.

Broker James Barrett in J.P. Morgan Securities LLC Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Barrett (Barrett), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barrett 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 $19,587.00 on April 06, 2020.

Client alleges misrepresentation regarding variable annuity investment. Activity dates 02/24/2020- 03/27/2020.

There are Recent Customer Complaints with Broker Jeff Kramer in Firm Morgan Stanley

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeff Kramer (Kramer), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Kramer 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 $300,000.00 on April 07, 2020.

Attorney alleged, inter alia, excessive trading with respect to investments in account – January 2018 thru December 2019

Broker Craig Tomasek in Edward Jones Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

The client alleges that the Financial Advisor failed to move to cash in their individual account as requested but rather moved them to a bond fund and that he placed trades on 3/12 not 3/9.

Broker David Krumrey in Oppenheimer & CO. INC. Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Krumrey (Krumrey), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Krumrey 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 $300,000.00 on April 02, 2020.

Claimants allege claims for breach of fiduciary duty, negligence and breach of contract in connection with the management of their account.From 1/1/2016 – 12/31/2017

Broker Sean Grubb in Northwest Investment Advisors, INC. Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 06, 2020.

Failure to supervise.\<char_lb_r>\, September 2015 to March 2020

Broker Carrie Lawlor in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

The customer alleges unsuitable investment recommendations January 2020 until April 2020.

Broker Joseph Valdes in Lincoln Investment Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Valdes (Valdes), currently associated with Lincoln Investment, has at least one disclosable event. These events include one customer complaint, alleging that Valdes 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 $30,000.00 on April 03, 2020.

Clients allege they met with their registered representative on March 9, 2020 to request their accounts be moved to a fixed interest option. The requested transactions were not performed by the registered representative, causing their accounts to incur market losses.

Broker David Hollenberg in RBC Capital Markets, LLC Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 06, 2020.

Client complains that his realized gains were exceptionally high, despite being assured by his financial advisor that he would have no capital gains issues. Time frame is 6/2019 thru 12/2019.