Securities Lawyers Blog

Broker Larry Leppo in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 06, 2026.

Client claims that the Financial Advisor did not disclose the extent of the tax consequences of his recommendation to liquidate securities. (6/4/2025)

Broker Sharon Mack in Edward Jones Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sharon Mack (Mack), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mack 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 $16,969.00 on July 08, 2021.

Client alleged that unauthorized trades resulted in tax liabilities and expenses.

There are Recent Customer Complaints with Broker Ritchie Hoffman in Firm Berthel, Fisher & Company Financial Services, INC.

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ritchie Hoffman (Hoffman), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoffman 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 July 06, 2021.

From 2011 through 2018 the clients allege the representative sold the clients investments which were unsuitable and misrepresented to the clients. The client further allege their accounts were overconcentrated in illiquid investments. The clients also allege the firm failed to conduct adequate due diligence of the investments and failed to supervise the actions of the representative.

Broker Michael Crabb in Morgan Stanley & CO. LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

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

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

Plaintiff alleges, inter alia, breach of duty and bad faith in connection with its investment banking relationship with Morgan Stanley. 2018-2020.

There are Recent Customer Complaints with Broker Jeffrey Miller in Firm UBS Financial Services INC.

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Miller (Miller), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $1,000,000.00 on July 06, 2021.

Time frame:June 2014 – June 2021\, Allegations: Claimant, widower and former opera singer, alleges FA recommended unsuitable concentration in gold, gold mining and silver, the use of a credit line for liquidity, and purchasing a long-term disability care insurance policy, which ultimately lapsed. Claimant alleges the FA received a commission from the policy.

Broker John Marinaccio in Worden Capital Management LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Marinaccio (Marinaccio), previously associated with Worden Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marinaccio 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 $653,500.00 on July 07, 2021.

Failure to supervise and negligent supervision; between August 2017 and December 2019.

There are Recent Customer Complaints with Broker Robert Sileo in Firm LPL Financial LLC

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Sileo (Sileo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sileo 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 $5,000.00 on July 08, 2021.

Unsuitability

Broker Alfredo Yanes in Western International Securities, INC. Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfredo Yanes (Yanes), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Yanes 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 $5,000.00 on July 08, 2021.

Unsuitability

Broker Donald Sperring in Axa Advisors, LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Sperring (Sperring), previously associated with Axa Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sperring 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 July 09, 2021.

Client alleges the RR potentially misappropriated funds in connection with the purchase of a CD investment.

There are Recent Customer Complaints with Broker Rajvinder Budwal in Firm Osaic Wealth, INC.

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rajvinder Budwal (Budwal), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Budwal 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 $100,001.00 on July 08, 2021.

Claimants allege the representative recommended an investment that was unsuitable.