Securities Lawyers Blog

Broker David Karin in Innovation Partners LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Karin (Karin), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Karin 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 $150,000.00 on July 29, 2025.

Unsuitable sale of GWG Holdings, Inc. L bonds in 2020

Broker Phillip Jones in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Jones (Jones), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $5,000,000.00 on July 11, 2025.

The claimants allege misrepresentation, omissions, and unsuitable investment recommendations.

Broker John Egan in Western International Securities, INC. Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Egan (Egan), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 $60,000.00 on July 29, 2025.

Unsuitable sale of GWG Holdings, Inc. L bonds in 2020

There are Recent Customer Complaints with Broker Julie Darrah in Firm Mutual Securities, INC.

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julie Darrah (Darrah), previously associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Darrah 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 $150,000.00 on July 22, 2025.

Claimant alleges that more than $150,000 of Claimant’s investment funds were unconscionably lost

Broker James Doherty in Morgan Stanley Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Doherty (Doherty), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Doherty 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 $916,218.00 on July 24, 2025.

ATTORNEY FOR EXECUTORS OF ESTATE OF DECEASED CLIENT ALLEGES THAT OPTION TRADING STRATEGY WAS UNSUITABLE FOR THE CLIENT 2015-2024

There are Recent Customer Complaints with Broker David Radford in Firm Pruco Securities, LLC.

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 27, 2022.

Customer Alleges the rep did not fully disclose all the facts regarding investment objectives and suitability.

Broker Steven Roberson in Nylife Securities LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 01, 2022.

Customer alleges the Variable Annuity policy he purchased in November 2021 is not categorized for his age group.

There are Recent Customer Complaints with Broker Evan Moser in Firm Edward Jones

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Moser (Moser), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Moser 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 $10,000.00 on September 26, 2022.

The client alleges that the financial advisor placed trades in 2021 without authorization.

Broker Maurice Kelley in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 26, 2022.

The customers allege an unsuitable investment strategy, omission of materials facts and that the Financial Advisor was not acting in their best interest from August of 2020 until January of 2021.

There are Recent Customer Complaints with Broker Katherine Morosani in Firm Edward Jones

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katherine Morosani (Morosani), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Morosani 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 $16,058.92 on September 27, 2022.

The client alleges the purchase of two mutual funds was not appropriate for her specific needs and goals, which she alleges the Financial Advisor was aware of.