Securities Lawyers Blog

Broker Jose Rivas in Equitable Advisors, LLC Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 05, 2023.

Client alleges that RR did not explain that a new variable policy would be issued to obtain a non-smoker rating.

Broker Chad Zitzelsberger in LPL Financial LLC Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 30, 2022.

Customer alleges that investment of $25,000 in June 2012 was unsuitable and seeks unspecified damages.

There are Recent Customer Complaints with Broker Andrew Lowe in Firm Dempsey Lord Smith, LLC

October 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 05, 2023.

The clients allege the investments they purchased in 2015 were unsuitable and misrepresented to the by the representative. They further allege the firm did not supervise the activities of the representative.

There are Recent Customer Complaints with Broker Lawrence Friedman in Firm MML Investors Services, LLC

October 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 06, 2023.

The complainants alleges that their registered representative, on May 04, 2022, sold their preferred stock, at a loss, without their knowledge.

Broker Scott Harris in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 03, 2023.

Customer alleges unsuitable investment recommendation and failure to act in the best interest of the customer in 2020 and 2021.

There are Recent Customer Complaints with Broker Stephan Stein in Firm Joseph Gunnar & CO. LLC

October 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $2,100,328.00 on December 30, 2022.

The Statement of Claim alleges that Mr. Stein failed to reasonably supervise the broker of record for this account.

Broker Anthony Dorsey in PFS Investments INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Dorsey (Dorsey), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Dorsey 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 $31,131.66 on January 04, 2023.

CUSTOMER ALLEGED I FAILED TO INFORM HER OF THE FREE-LOOK PERIOD, ALLOWING HER TO SURRENDER HER VARIABLE ANNUITY CONTRACT TIMELY, WITHOUT PENALTY.

Broker Kevin Brennan in Andrew Garrett INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Brennan (Brennan), previously associated with Andrew Garrett INC., has at least one disclosable event. These events include one customer complaint, alleging that Brennan 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 $1,400,000.00 on January 03, 2023.

unsuitabILITY,breach of fiduciary breach of contract

There are Recent Customer Complaints with Broker Jorge Alvarez in Firm Truist Investment Services, INC.

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge Alvarez (Alvarez), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Alvarez 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 January 03, 2023.

Client alleges investment was unsuitable.

Broker Charles Taylor in World Equity Group, INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,200,000.00 on January 03, 2023.

Respondents Recommended Third Party Administrators Who Stole Nearly all the Plans’\, Savings; Respondents did not Report any of it. Claimants are reporting failure of fiduciary responsibility of the Mr. Taylor and World Equity Group, Inc who is the employing broker dealer of Mr. Taylor