Securities Lawyers Blog

There are Recent Customer Complaints with Broker Joseph Cason in Firm Osaic Wealth, INC.

August 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Cason (Cason), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cason 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 April 18, 2025.

Claimant alleges that the recommendation of certain shares of illiquid preferred stock was not in keeping with her needs and objectives, and that the features and risks of the investment were not properly disclosed to her.

Broker Paul Barker in Ameriprise Financial Services, LLC Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Barker (Barker), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barker 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 $402,100.00 on April 10, 2025.

The Executor for the estate of the deceased alleged that the deceased client’s advisor took advantage of his fiduciary role by becoming the Attorney-in-Fact (AIF), primary caregiver and added his name and address on the deceased client’s bank accounts. The advisor then allegedly misappropriated client assets.

There are Recent Customer Complaints with Broker Jeffrey Bangerter in Firm Concorde Investment Services, LLC

August 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Bangerter (Bangerter), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bangerter 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 $300,000.00 on April 15, 2025.

Client is claiming losses due to poor recommendation for investments made in 2019 and 2020.

There are Recent Customer Complaints with Broker Calvin Heck in Firm Wedbush Securities INC.

August 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 16, 2025.

Customer alleges FA misrepresented the tax consequences relating to a life insurance policy purchase in 1987.

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

July 31, 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

July 31, 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.

July 31, 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

July 31, 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.

Broker William Duffy in Innovation Partners LLC Firm Has Customer Complaint

July 31, 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

July 31, 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.