Securities Lawyers Blog

There are Recent Customer Complaints with Broker David Merrick in Firm Edward Jones

August 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Merrick (Merrick), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Merrick 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 $12,000.00 on June 20, 2025.

Clients allege that they were told they were purchasing two year bonds but have learned the funds are locked up for 20 years and would not have purchased the bonds had they known this information.

Broker James Morrison in Kestra Investment Services, LLC Firm Has Customer Complaint

August 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Morrison (Morrison), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morrison 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 $450,000.00 on June 17, 2025.

Claimant alleges that an unsuitable product was sold.

Broker Joseph Darracq in Kestra Investment Services, LLC Firm Has Customer Complaint

August 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Darracq (Darracq), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Darracq 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 $450,000.00 on June 17, 2025.

Claimant alleges that an unsuitable product was sold.

Broker William Campbell in David Lerner Associates, INC. Firm Has Customer Complaint

August 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Campbell (Campbell), previously associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Campbell 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 $120,000.00 on June 23, 2025.

From November 17, 2017 allegations unsuitability, misrepresentation and omissions

Broker Yitzchak Prag in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

August 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 24, 2025.

Client alleges investment recommendations were not in their best interest and misrepresentation

There are Recent Customer Complaints with Broker Ryan Smith in Firm MML Investors Services, LLC

August 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 24, 2025.

The complainant alleges, that beginning in/and around August 14, 2023, he was misled, regarding the purchase of a Whole Life insurance policy, which was funded from a Brokerage Account, and is looking for a return of all premiums paid, given the policy was obtained under misleading and/or inaccurate information.

There are Recent Customer Complaints with Broker Justin Pastore in Firm Pruco Securities, LLC.

August 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Pastore (Pastore), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Pastore 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 $12,762.88 on June 26, 2025.

Client has alleged the rep switched her policy without authorization.

Broker Christina Blovad in LPL Enterprise, LLC Firm Has Customer Complaint

August 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christina Blovad (Blovad), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blovad 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 $14,210.84 on June 26, 2025.

Failure to disclose fees.

There are Recent Customer Complaints with Broker William Duffy in Firm Innovation Partners LLC

August 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Duffy (Duffy), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Duffy 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 $400,000.00 on June 24, 2025.

Breach of fiduciary duty; negligence and negligent misrepresentation; breach of contract; overconcentration; failure to supervise; Violation of Regulation Best Interest

Broker Anthony Clifford in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

August 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 25, 2025.

Claimant alleges that beginning in May 2019, the financial advisor made unsuitable investments.