Securities Lawyers Blog

There are Recent Customer Complaints with Broker William Harvey in Firm Edward Jones

January 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 05, 2021.

The client alleges the financial advisor failed to follow instructions and place trades.

Broker Daniel Drahos in Stirlingshire Investments Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Daniel Drahos (Drahos), currently associated with Stirlingshire Investments, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Drahos concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $25,918.00 on November 05, 2021.

Churning of account and unsuitable while at Worden Capital Management. Mr Drahos was not employed by Monmouth Capital Management until October 2021 and the individuals were served on 8/23/2021 . The claims against WCM was for excessive trading, insuitable recommendations and failure to supervise the represesantative

There are Recent Customer Complaints with Broker Heather Cagle in Firm Nylife Securities LLC

January 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2021.

Customer alleges that she and her late husband did not sign an electronic application for an employee whole life insurance policy in April 2021

Broker Taylor Leary in Forta Financial Group, INC. Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Taylor Leary (Leary), previously associated with Forta Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Leary 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 05, 2021.

Claimant’s allegations against Respondents FORTA FINANCIAL GROUP, INC. f/k/a PRESIDENTIAL BROKERAGE, INC. and Mr. Leary included: negligence, professional negligence, violations of law, unsuitable recommendations, negligent supervision, breach of contract, breach of fiduciary duty, and breach of securities industry rules and regulations. Mr. Leary denied any wrongdoing on his part, but ultimately the Respondents made the business decision to settle the case in order to avoid the costs and disruption associated with litigating this matter through arbitration.

Broker Louis Scherschel in St. Bernard Financial Services, INC. Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis Scherschel (Scherschel), previously associated with St. Bernard Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Scherschel 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 $64,000.00 on November 08, 2021.

Client opened account in 2016 and transferred out in 2021. She stated that she was a speculative investor and wanted to take risks. Over the course of time the account lost $8341. She wants up to $100,000 for what she states is what the account should have done.

Broker Timothy Jennings in Morgan Stanley Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 09, 2021.

CLIENT ALLEGED, INTER ALIA, THAT THE RECOMMENDATION TO OPEN A MANAGED ACCOUNT WHICH LED TO ALL OF HER STOCKS BEING LIQUIDATED\, CAUSING SUBSTANTIAL CAPITAL GAINS WAS NOT IN HER BEST INTEREST. 2021 DAMAGES UNSPECIFIED

There are Recent Customer Complaints with Broker Daniel Lopez in Firm UBS Financial Services INC.

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Lopez (Lopez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopez 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 November 04, 2021.

Claimants allege their investments in Puerto Rico municipal bonds and closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Jung Lee in Independent Financial Group, LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jung Lee (Lee), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 November 12, 2021.

Allege investments were not suitable and were not in line with client’s investment objectives.

Broker Donna Hines in Cetera Advisors LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Hines (Hines), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hines recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 08, 2021.

Without admitting or denying the findings, Hines consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony in connection with FINRA\\u2019s investigation into whether she facilitated a customer\\u2019s bitcoin investment for compensation. The findings stated that although Hines initially cooperated with FINRA\\u2019s investigation, she eventually ceased doing so.

Broker William Poulter in LPL Financial LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

Currently financial advisor William Poulter (Poulter), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint on November 05, 2021.

The client alleges misrepresentation and suitability issues concerning the advisor’s advice to purchase illiquid REITs and a BDC. Client also alleges improper fees and commissions charged on his accounts. Activity period 2008-2022.