Securities Lawyers Blog

There are Recent Customer Complaints with Broker Kyle Friedrich in Firm Edward Jones

July 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Friedrich (Friedrich), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Friedrich 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 $112,000.00 on July 09, 2025.

Client alleges that financial advisor stole $112,000 from her account.

There are Recent Customer Complaints with Broker Adam Srmek in Firm Ameriprise Financial Services, LLC

July 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Srmek (Srmek), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Srmek 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 $32,000.00 on June 27, 2025.

Client alleged that his former advisors liquidated assets in 2024, without the client’s authorization, for the purpose of purchasing an annuity. In addition, the client alleged that the tax ramifications of the liquidating trades in question generated $153,315.13 in capital gains ($104,126.91 long-term and $49,188.22 short-term) which were not disclosed.

Broker David Bains in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2025.

Claimant alleges that in March 2024; the FA made an unsuitable purchase of an annuity.

There are Recent Customer Complaints with Broker Edward Hill in Firm LPL Financial LLC

July 30, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Edward Hill (Hill), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Hill’s most recent customer complaint alleges that Hill recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on July 01, 2025.

Claimant alleges his financial professional recommended an unsuitable investment in structured notes from April 2021 – July 2025.

There are Recent Customer Complaints with Broker Robert Alegria in Firm Morgan Stanley

July 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

Claimant alleges, inter alia, unsuitable investment recommendations and violations of Reg BI with respect to securities-backed line of credit strategy 2014 -2024

Broker Brian Hamm in J.w. Cole Financial, INC. Firm Has Customer Complaint

July 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

Trustee alleges that the financial professional provided inaccurate advice regarding disbursement of funds from the trust causing additional tax liabilities.

There are Recent Customer Complaints with Broker Ryan Messenger in Firm Edward Jones

July 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Messenger (Messenger), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Messenger 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 $20,000.00 on July 01, 2025.

Client alleges that Financial Advisor illegally transferred $20,000 from his 401k into the FA’s personal account.

There are Recent Customer Complaints with Broker Jeffery Bickel in Firm LPL Financial LLC

July 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 03, 2025.

Customer alleges she had losses in bond funds that did not match her investment objectives from September 2023 through June 2025.

There are Recent Customer Complaints with Broker Eric Kleiner in Firm Morgan Stanley

July 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2025.

Claimant alleged, inter alia, FA recommended outside investment not authorized by the firm – May 2018 to March 2025

There are Recent Customer Complaints with Broker Megurditch Patatian in Firm Supreme Alliance LLC

July 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Megurditch Patatian (Patatian), previously associated with Supreme Alliance LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patatian 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 $5,000.00 on July 09, 2025.

Unsuitable investment in 3 real estate investment trusts in 2013, 2015, and 2016