Securities Lawyers Blog

There are Recent Customer Complaints with Broker Andrea Steiner in Firm Vanderbilt Securities, LLC

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrea Steiner (Steiner), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Steiner 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 December 20, 2022.

Claimants allege unsuitable investment advice on alternative investment product. I was introduced to Claimants through one of my other clients in February 2020 and the recommendation occurred in May 2020.

Broker Timothy Doering in LPL Financial LLC Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 21, 2022.

Customer alleges representative failed to execute a sell order timely, which led to a decline of his account’s value. Activity period: January through April 2022.

Broker Mary Murphy in Charles Schwab & Co., INC. Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Murphy (Murphy), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $350,000.00 on December 23, 2022.

Client alleges the representative provided poor investment advice between approximately September 2021 and July 2022 which caused losses of approximately $350,000. Client also alleges that the representative offered to reimburse the Client’s losses through various means.

Broker Blake Hammer in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 20, 2022.

CLIENT ALLEGED THAT HIS INSTRUCTIONS ON HOW TO INVEST THE FUNDS IN HIS MANAGED ACCOUNT WERE NOT FOLLOWED. DAMAGES UNSPECIFIED 2015-2022

There are Recent Customer Complaints with Broker Joseph Badolato in Firm Key Investment Services LLC

October 23, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Joseph Badolato (Badolato), currently employed by Key Investment Services LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Badolato’s most recent customer complaint alleges that Badolato recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $82,000.00 on December 28, 2022.

The complaint was received by the firm as a direct arbitration claim filing. Through statement of claim, client alleges misrepresentation by the RR in the March 2021 purchase of a structured CD in the amount of $82,000.00.

There are Recent Customer Complaints with Broker Tony Esses in Firm Snowden Account Services LLC

October 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 21, 2022.

Arbitration: \<char_lb_r>\, Claimant alleges that due to the FA negligence, at least $2,345,898.00 was fraudulently transferred from the Claimant’s accounts to accounts in an unrelated outside third party’s name. \<char_lb_r>\, \<char_lb_r>\, Litigation:Plaintiff alleges that contrary to their fiduciary duties of care, loyalty, good faith and disclosure, the FA and his wife assisted an unrelated outside third party hired by Plaintiff in misappropriating Plaintiff’s funds.

There are Recent Customer Complaints with Broker Michael Coldwell in Firm Edward Jones

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Coldwell (Coldwell), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Coldwell 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 $75,000.00 on December 27, 2022.

Client alleges she did not authorize FA to purchase CDs in her account, nor did she approve fees associated with the purchases.

Broker Mary Masters in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Masters (Masters), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Masters 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 $450,000.00 on December 28, 2022.

Claimant alleges negligence and failure to supervise.

There are Recent Customer Complaints with Broker Paul Meyer in Firm RBC Capital Markets, LLC

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Meyer (Meyer), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 $250,000.00 on December 23, 2022.

Customer alleges that FA failed to follow instructions regarding sale of stocks

Broker William Moening in RBC Capital Markets, LLC Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 22, 2022.

Arbitration: Claimant alleges his FA made unsuitable and unauthorized investments in contrast with Claimant’s stated investment objectives and strategy. \, \, Complaint: Client complains that financial advisor represented that investments were conservative liquid instruments, whereas they lost significant value and were subject to a contingent deferred sales charge. (11/23/2020-7/5/2022)