Securities Lawyers Blog

There are Recent Customer Complaints with Broker Dennis Riordan in Firm Wynston Hill Capital, LLC

January 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Riordan (Riordan), previously associated with Wynston Hill Capital, LLC, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Riordan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 01, 2022.

Riordan failed to response to an Order to Show Cause and Order of Summary Suspension issued December 7, 2021.

Broker Michael Beebe in LPL Financial LLC Firm Has Customer Complaint

January 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 13, 2022.

Respondent Beebe failed to respond to FINRA requests for information.

Broker Peter Fetherston in Aegis Capital Corp. Firm Has Customer Complaint

January 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 03, 2022.

Fetherston was named a respondent in a FINRA complaint alleging that he converted and misused customer funds. The complaint alleges that Fetherston induced two customers, a married couple, to write him three checks totaling $89,000 by falsely representing to them that they owed him commissions and that he would use a portion of the funds to purchase additional investments in their account at his member firm. The customers did not owe Fetherston any commissions, and Fetherston never invested any of the funds on their behalf. Instead, Fetherston deposited the checks into his personal bank account and spent the funds on personal expenses, including paying off significant debt. The complaint also alleges that Fetherston falsely stated that the customers gave him the funds to help him pay his medical bills and expenses. Then, Fetherston provided FINRA with a handwritten note, purportedly drafted and signed by the customers, stating that they gave Fetherston three checks totaling $89,000 to help him to pay his medical expenses and associated costs. The customers, however, neither wrote nor signed any such note, and they did not give Fetherston any funds to help him pay his medical expenses and associated costs. In addition, Fetherston falsely testified that the customers gave him the money for medical expenses and other associated costs, and that the customers wrote and signed the handwritten note. The complaint further alleges that Fetherston failed to respond to a written request for information. Fetherston provided a partial response to FINRA’s request, but the response was incomplete because he failed to identify the medical expenses that he paid with the money obtained from the customers.

Broker Michael Leahy in First Standard Financial Company LLC Firm Has Customer Complaint

January 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Leahy (Leahy), previously associated with First Standard Financial Company LLC, has at least 5 disclosable events. These events include 2 customer complaints, 3 regulatory events, alleging that Leahy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 12, 2022.

Respondent Leahy failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Paul Koch in RBC Capital Markets, LLC Firm Has Customer Complaint

January 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on March 16, 2022.

Without admitting or denying the findings, Koch consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into an amended Form U5 filed by Koch\\u2019s member firm disclosing allegations that he recommended risky and unsuitable investments in various outside business ventures where his wife was a partial owner, and that Koch and his wife diverted funds from the outside investments and accounts for their personal gain. The findings stated that although Koch initially cooperated with FINRA\\u2019s investigation, he ceased doing so.

There are Recent Customer Complaints with Broker Gregory Williams in Firm Forta Financial Group, INC.

January 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Williams (Williams), previously associated with Forta Financial Group, INC., has at least 6 disclosable events. These events include 5 customer complaints, one regulatory event, alleging that Williams recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 29, 2022.

Respondent Williams failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Janie Garza Clark in Firm Tcfg Wealth Management, LLC

January 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 25, 2022.

Without admitting or denying the findings, Garza-Clark consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony requested by FINRA. The findings stated that this matter originated from an investigation regarding Garza-Clark\\u2019s relationship with a former client, including her potential receipt of cash gifts from that client.

Broker Neil Berlant in D.a. Davidson & CO. Firm Has Customer Complaint

January 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Berlant (Berlant), previously associated with D.a. Davidson & CO., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Berlant recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 05, 2022.

Without admitting or denying the findings, Berlant consented to the sanctions and to the entry of findings that he exercised discretionary trading authority in customer accounts without written authorization. The findings stated that Berlant obtained verbal permission from the customers to exercise discretion in their accounts and executed securities transactions in reliance on their grant of discretionary authority. However, none of the customers provided Berlant with prior written authorization for his use of discretion, and his member firm did not approve the accounts as discretionary. In addition, Berlant also falsely stated on falsely stated on three of his firm\\u2019s annual compliance questionnaires that he did not exercise discretion in customer accounts. The findings also stated that Berlant caused the firm to make and preserve inaccurate and incomplete books and records. Berlant used his personal e-mail address to communicate with firm customers about securities transactions in their firm accounts. Berlant did not disclose his use of his personal e-mail to the firm, or provide the firm with copies of his electronic correspondence with the customers. Berlant also falsely stated on three of the firm\\u2019s annual compliance questionnaires that he did not use a personal e-mail address for business-related communications, and deleted all records from his personal e-mail account during the course of the firm\\u2019s investigation. In addition, Berlant concealed his use of discretionary trading authority by improperly marking order tickets as unsolicited.

There are Recent Customer Complaints with Broker Camille Cordova in Firm Nylife Securities LLC

January 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on May 31, 2022.

Without admitting or denying the findings, Cordova consented to the sanctions and to the entry of findings that she made unsuitable recommendations for a family trust formed by a senior married couple. The findings stated that Cordova and another registered representative at her member firm recommended that the trust purchase a deferred variable annuity for approximately $540,000 and fund that purchase through two withdrawals from an indexed annuity owned by the trust. Cordova was aware that funding the purchase of the variable annuity with withdrawals from the trust’s existing annuity could result in negative tax consequences for the trust and was also aware that the recommendation to purchase the variable annuity would not be suitable if it caused negative tax consequences for the trust. However, neither Cordova nor the other representative researched how the trust might be able to purchase the variable annuity without negative tax consequences. Instead, the other representative recommended that the trust withdraw funds from the indexed annuity via two checks payable to the trust and immediately endorse the checks as payable to the firm in order to fund the purchase of the variable annuity. The representative mistakenly believed that having the trust immediately endorse the checks as payable to the firm would avoid any adverse tax consequences, but he did not confirm that belief. Cordova knew of, and acquiesced to, the representative’s funding recommendation without doing any of her own additional research. The withdrawal of the funds from the indexed annuity were, in fact, taxable events that resulted in negative tax consequences to the trust. The adverse tax consequences could have been avoided if Cordova or the other representative had recommended the new variable annuity be purchased as a tax-free 1035 exchange, but they failed to research that option.

There are Recent Customer Complaints with Broker Dwayne Bullen in Firm Vcs Venture Securities

January 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on July 12, 2022.

Respondent Bullen failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.