Securities Lawyers Blog

There are Recent Customer Complaints with Broker Charles Smith in Firm Ameriprise Financial Services, LLC

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Smith (Smith), currently associated with Ameriprise Financial 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 with a damage request of $18,461.00 on October 03, 2025.

The client alleged the advisor promised reimbursement for any losses incurred from a May 2022 mutual fund purchase.

Broker Larry Cohen in Dominari Securities LLC Firm Has Customer Complaint

November 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 13, 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.

Broker Craig Fylling in Edward Jones Firm Has Customer Complaint

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Fylling (Fylling), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Fylling 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 $60,000.00 on October 12, 2025.

The client alleges the financial advisor in April of 2025 did not invest his funds as discussed.

There are Recent Customer Complaints with Broker David Reimer in Firm Dominari Securities LLC

November 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 13, 2025.

Time frame: Unspecified. Customer alleges 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 customer's investments.

There are Recent Customer Complaints with Broker Mark Kemp in Firm Mcnally Financial Services Corporation

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Kemp (Kemp), currently associated with Mcnally Financial Services Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Kemp 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 $270,000.00 on October 06, 2025.

In November 2020, the Respondent is alleged to have recommended the Petitioner invest $170,000 in a real estate limited partnership. The Respondent is alleged to have made an unsuitable recommendation and to have made false & misleading statements as to the nature of this investment, its liquidity, and its income producing capabilities.

Broker Roger 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 Roger Bowlin (Bowlin), currently associated with Aurora Securities, has at least 2 disclosable events. These events include 2 customer complaints, 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.

Broker Ronald Cole in Emerson Equity LLC Firm Has Customer Complaint

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Cole (Cole), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cole 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.

Breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of the Massachusetts Uniform Securities Act Part 1, Chapter 110A, Section 101, sales and purchases and federal securities laws, violation of Best Interest Obligation.

Broker Mark Bailey in Kestra Investment Services, LLC Firm Has Customer Complaint

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Bailey (Bailey), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bailey 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 $1,298,000.00 on October 06, 2025.

Customers allege that in March 2018, they were solicited to invest in a Life Settlement Product from SLS Strategies, LLC, that contained false and misleading information.

There are Recent Customer Complaints with Broker Debra Mesle in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Debra Mesle (Mesle), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mesle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 07, 2025.

Customer alleges failure to follow instructions relating to investment of funds in account in September 2025.

There are Recent Customer Complaints with Broker Robert Thompson in Firm the O.n. Equity Sales Company

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Thompson (Thompson), previously associated with the O.n. Equity Sales Company, 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 $2,325,953.00 on October 08, 2025.

The lawsuit alleges Thompson misappropriated monies awarded to the customer via damages associated with a commercial vehicle event to his own use between September 2023 and August 2025.