Securities Lawyers Blog

There are Recent Customer Complaints with Broker William Lefkowitz in Firm B. Riley Wealth Management

November 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Lefkowitz (Lefkowitz), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Lefkowitz 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 $1,000,000.00 on September 27, 2025.

Client alleges excessive commissions.

Broker Austin Masel in Morgan Stanley Firm Has Customer Complaint

November 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 10, 2025.

Claimant alleges, inter alia, that the trades involving the sale of Apple stock executed in his account were unauthorized 2025

There are Recent Customer Complaints with Broker Souad Zayed in Firm Nylife Securities LLC

November 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 10, 2025.

The customer alleges that the premiums for two variable universal insurance policies purchased in July were more than discussed.

There are Recent Customer Complaints with Broker Alex Ng in Firm PHX Financial, INC.

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Ng (Ng), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ng 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 $500,000.00 on October 06, 2025.

Clients allege that upon transferring their account to Mr. King, he reallocated portfolio holdings into unsuitable investments comprised of blue chips, sector funds and alternative investments.

Broker Tyler Schultz in LPL Financial LLC Firm Has Customer Complaint

November 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $46,862.57 on October 07, 2025.

Claimant alleges representative recommended unsuitable investments in her 401(k) plan account during the time period 2021-2022.

Broker Austin Bowlin in Aurora Securities Firm Has Customer Complaint

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Bowlin (Bowlin), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Bowlin 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 $1,000,000.00 on October 06, 2025.

Claimant alleges that investments recommended were unsuitable.

There are Recent Customer Complaints with Broker Philip Hoang in Firm Morgan Stanley

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Hoang (Hoang), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hoang 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 $1,737,815.00 on October 10, 2025.

Claimant alleges, inter alia unsuitability with respect to investments and Liquidity Access Line -2021 to 2025

There are Recent Customer Complaints with Broker Bryan Lubitz in Firm Equitable Advisors, LLC

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Lubitz (Lubitz), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lubitz 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 $100,000.00 on October 09, 2025.

Customers allege suitability concerns of equity sales.

Broker Adam Chustz in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Chustz (Chustz), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Chustz 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 $200,000.00 on October 06, 2025.

Claimant alleges breach of contract and warranties, promissory estoppel; violation of Consumer Protection and Deceptive Trade Practices Act; violation of state securities statutes; common law fraud; breach of fiduciary duty; negligence and gross negligence; misrepresentation/omission and negligent misrepresentation/omission; and unjust enrichment.

There are Recent Customer Complaints with Broker John Russo in Firm Dominari Securities LLC

November 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 09, 2025.

Time frame: Unspecified. Customers allege breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customers investments.