Securities Lawyers Blog

Broker Eugene Garner in LPL Financial LLC Firm Has Customer Complaint

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Garner (Garner), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garner 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 $650,000.00 on January 11, 2022.

Omission/misrepresentation in connection with hold recommendation of Energy 11, Energy 12 and SOAEX.

Broker Jose Del Valle in Nationwide Planning Associates INC. Firm Has Customer Complaint

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Del Valle (Del Valle), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Del Valle 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 January 10, 2022.

Time frame: From 2013 through 2020. Allegations: Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

There are Recent Customer Complaints with Broker Timothy Gorsuch in Firm LPL Financial LLC

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Gorsuch (Gorsuch), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gorsuch 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 January 05, 2022.

Customer alleges a failure to follow an instruction to purchase mutual fund on July 1, 2019

There are Recent Customer Complaints with Broker Bradley Goodbred in Firm LPL Financial LLC

December 12, 2025 | by Staff Attorney

Previously financial advisor Bradley Goodbred (Goodbred), previously 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 with a damage request of $1,613,981.30 on January 06, 2022.

Customer alleges that representative caused her to execute a document appointing representative as her power of attorney, and that representative allegedly induced customer to invest in a fraudulent, unregistered security. Activity period 2009 to 2020.

Broker Sandra Mckoy in Kovack Securities INC. Firm Has Customer Complaint

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandra Mckoy (Mckoy), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Mckoy 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 January 11, 2022.

Client alleges investment was unsuitable

Broker James Pardy in Joseph Stone Capital L.l.c. Firm Has Customer Complaint

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pardy (Pardy), previously associated with Joseph Stone Capital L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Pardy 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 $2,807,663.24 on January 12, 2022.

Failure to supervise

There are Recent Customer Complaints with Broker Shad Ketcher in Firm Wealth Enhancement Brokerage Services, LLC

December 12, 2025 | by Staff Attorney

Currently financial advisor Shad Ketcher (Ketcher), currently employed by brokerage firm Wealth Enhancement Brokerage Services, 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 with a damage request of $100,001.00 on January 06, 2022.

Clients alleges two non-traded REITs purchased were unsuitable.

There are Recent Customer Complaints with Broker Gerald Donovan in Firm Northwestern Mutual Investment Services, LLC

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Donovan (Donovan), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Donovan 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 $81,374.00 on January 13, 2022.

The customer alleged that he would not have transferred his funds to the Northwestern Mutual Investment Services advisory account if he would have been made aware of the tax consequences of the transaction.

There are Recent Customer Complaints with Broker Marcus Seifert in Firm Fbl Marketing Services, LLC

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Seifert (Seifert), previously associated with Fbl Marketing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Seifert 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 $57,335.00 on January 12, 2022.

The client alleges the RR failed to follow instructions in moving a qualified retirement plan to an IRA. This cost the client $57,335 in IRS and state tax penalties.

There are Recent Customer Complaints with Broker Michael Coombe in Firm Robert W. Baird & CO. Incorporated

December 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on January 12, 2022.

Claimants, who are trust beneficiaries, allege the FA failed to reinvest trust assets on the date agreed upon by the Trustee and the Beneficiaries, and that such failure resulted in the Trust missing out on market gains.