Securities Lawyers Blog

Broker Jason Poff in Allstate Financial Services, LLC Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Poff (Poff), previously associated with Allstate Financial Services, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Poff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Customer alleged that investment of $20,000 in REIT in June 2014 was unsuitable. Complaint was settled to avoid the time and expense of further dispute. Activity Dates: 6/20/14 TO 4/5/21.

Broker Frederick Mueller in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 06, 2021.

Claimant alleges registered representative invested Claimant’s accounts in an aggressive and unsuitable manner.

Broker Richard Weeks Iv in Hightower Securities, LLC Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

Currently financial advisor Richard Weeks Iv (Weeks Iv), currently employed by brokerage firm Hightower Securities, 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 $450,000.00 on April 09, 2021.

Richard Weeks is the subject of a FINRA arbitration alleging sales practice violations, including a violation of suitability obligations, in connection with a private placement investment made on or around February 2017, currently required to be disclosed pursuant to FINRA guidance. \, \, The FINRA arbitration for this matter is still pending, and the FINRA arbitration tribunals have not yet finalized its evaluation of the client’s statement of claim. In keeping with FINRA’s disclosure requirements, this arbitration is required to be disclosed before Mr. Weeks can defend his actions.

There are Recent Customer Complaints with Broker Gerald Dewes in Firm Cadaret, Grant & Co., INC.

February 23, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Gerald Dewes (Dewes) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Dewes was employed by Cadaret, Grant & Co., INC. at the time of the activity. If you have been a victim of Dewes’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on April 07, 2021.

Claimant alleges unsuitable investment recommendations, common law fraud, breach of contract, negligent supervision, and breach of fiduciary duty in connection with alleged investments in an unapproved private investment and two OTC stocks that were recommended by Mr. Dewes through his independent registered investment adviser and effected through accounts held at a third-party custodian.

Broker Michael Speer in Cambridge Investment Research, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Speer (Speer), previously associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Speer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Client alleges unsuitable investments.

There are Recent Customer Complaints with Broker Howard Yeager in Firm Newbridge Securities Corporation

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Yeager (Yeager), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Yeager 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 April 08, 2021.

Claimant alleges: negligence, breach of fiduciary duty

Broker Richard George in Bankers Life Securities, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard George (George), currently associated with Bankers Life Securities, INC., has at least 8 disclosable events. These events include 8 customer complaints, alleging that George recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 06, 2021.

Client alleged unsuitability with respect to investment in advisory- 01/02/2018 to 07/20/2019.

Broker Matthew Martinez in MML Investors Services, LLC Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Martinez (Martinez), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martinez 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 $200,000.00 on April 05, 2021.

Customers allege that representative failed to make suitable recommendations by recommending REITS on 4/29/2015.

Broker Joseph Petty in Benjamin F. Edwards & Company, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Petty (Petty), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Petty 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 $12,000.00 on April 06, 2021.

Client alleges a failure to follow instructions to liquidate quarterly interval fund on December 31, 2020, and that the subsequent liquidation of the fund on March 31, 2021 resulted in a loss to her of over $12,000.

Broker John Taylor in B. Riley Wealth Management Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Taylor (Taylor), previously associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $127,572.71 on April 05, 2021.

Alleges unsuitable investment recommendations in violation of FINRA Rules 2111 and 2090 and failure to supervise under FINRA Rule 3110 for transactions that took place in 2016 to mid-2017.