Securities Lawyers Blog

There are Recent Customer Complaints with Broker Ryan Cooper in Firm Nylife Securities LLC

July 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 21, 2025.

Customers alleged the Variable Annuity policies they each purchased between July – August 2024 were not compatible with their requests and the rationale was not clearly understood.

Broker Cecile Gallot in Thrivent Investment Management INC. Firm Has Customer Complaint

July 29, 2025 | by Staff Attorney

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

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

Client alleged the variable annuity purchased in March of 2023 was not appropriate due to his liquidity needs.

There are Recent Customer Complaints with Broker Kyle Geblein in Firm Ameriprise Financial Services, LLC

July 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Geblein (Geblein), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Geblein 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 $16,641.92 on April 15, 2025.

The client alleged that the advisor traded in his Qualified Strategic Portfolio Service Advisory account on January 6, 2025, prior to receiving his approval of the elected asset allocation model.

There are Recent Customer Complaints with Broker Eric Bencivenga in Firm Edward Jones

July 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Bencivenga (Bencivenga), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bencivenga 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 $23,455.00 on April 11, 2025.

Client alleges financial advisor misrepresented life insurance product for personal profit.

There are Recent Customer Complaints with Broker Matthew Hutchison in Firm LPL Enterprise, LLC

July 29, 2025 | by Staff Attorney

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

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

Client alleged the variable annuity purchased in March of 2023 was not appropriate due to his liquidity needs.

Broker Diana Weaver in Edward Jones Firm Has Customer Complaint

July 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Diana Weaver (Weaver), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Weaver 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 $7,651.00 on April 22, 2025.

Client’s POA alleges unauthorized sells of securities in client’s Advisory Solutions Traditional IRA account.

Broker Elinar Deghbashyan in Nylife Securities LLC Firm Has Customer Complaint

July 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elinar Deghbashyan (Deghbashyan), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Deghbashyan 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 $7,000.00 on April 14, 2025.

The Customer alleges the recommendation to transfer some of his funds from an existing variable annuity in December 2024 was based on improper fact finding, and as a result he has lost more than $7,000.00. The Client requests a refund without surrender charges.

Broker Lara Shogren in LPL Financial LLC Firm Has Customer Complaint

July 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lara Shogren (Shogren), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shogren 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 $7,666.55 on April 16, 2025.

Client sent letter alleging he was misled by the RR into purchasing an annuity. Client states he thought he was purchasing a CD.

Broker Matthew Hansen in Morgan Stanley Firm Has Customer Complaint

July 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 22, 2025.

Client verbally complained about unauthorized trades in his account.

There are Recent Customer Complaints with Broker Eugene Thompson in Firm Capital Investment Group, INC.

July 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Thompson (Thompson), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 $224,000.00 on April 17, 2025.

Relative to a purchase of GWG L-Bonds by the clients, GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. Claims made by clients included breach of fiduciary duty, fraudulent misrepresentation, violations of the North Carolina Security Act, constructive fraud, negligence by CIG, and negligent supervision and retention by CIG.