Securities Lawyers Blog

Broker Michael Wind in John Hancock Distributors LLC Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wind (Wind), currently associated with John Hancock Distributors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wind 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 $400,000.00 on February 28, 2023.

On February 28, 2023, [REDACTED] (“Claimant”) filed a Statement of Claim in arbitration with the Financial\, Industry Regulatory Authority (“FINRA”) (the “Statement of Claim”) against Paychex Securities Corporation\, (“PSC”), FINRA Case No. 23-00508. In his Statement of Claim, Claimant alleges that Michael Wind, then a\, registered representative with PSC, did not follow his instructions regarding how to invest his individual 401(k)\, plan assets when the plan sponsor transferred certain plan assets to Paychex on or about October 1, 2021.

Broker Luis Abreu in Oppenheimer & CO. INC. Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Abreu (Abreu), currently associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Abreu recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 01, 2023.

The customer alleges unauthorized trades in October 2022.

Broker Alexander Haviland in Dfpg Investments, LLC Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Haviland (Haviland), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haviland 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 $44,322.71 on February 28, 2023.

Client alleges unauthorized trading in account incurring a loss of $44,322.71

Broker Christopher Barfoot in J.P. Morgan Securities LLC Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Barfoot (Barfoot), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barfoot 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 $23,070.95 on February 27, 2023.

Client alleges poor advice regarding option strategy. Activity dates 2.27.23.

There are Recent Customer Complaints with Broker Suzanne Powell in Firm Wells Fargo Advisors, LLC

September 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $135,000.00 on March 01, 2023.

Client filed arbitration claim alleging Ms. Powell recommended unsuitable investments resulting in investment losses.

There are Recent Customer Complaints with Broker Jon Vinge in Firm Kestra Investment Services, LLC

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Vinge (Vinge), currently associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Vinge 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 $701,211.32 on March 01, 2023.

Claimant [REDACTED] alleges violations of federal & State securities laws, breach of fiduciary duties and negligence, breach of contract, common law fraud, failure to supervise, misrepresentation and omissions, unsuitable investments and failure to act in the best interest of the client.

Broker Mary Ann Best in Sanford C. Bernstein & Co., LLC Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Ann Best (Best), currently associated with Sanford C. Bernstein & Co., LLC, has at least one disclosable event. These events include one customer complaint, alleging that Best 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 $489,703.26 on February 28, 2023.

The Customer alleged unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Bernard Bostwick in Firm Osaic Wealth, INC.

September 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2023.

Claimant alleges the RR breached fiduciary duty by failing to recognize and stop claimant from being a victim of wire fraud.

Broker Robert Newman in Morgan Stanley Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 27, 2023.

Claimant alleged that the FA recommended a portfolio that was too aggressive for his risk tolerance.

Broker Arnetta Tolley in Edward Jones Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arnetta Tolley (Tolley), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Tolley 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 $8,000.00 on February 27, 2023.

Client alleges the financial advisor did not indicate there were any tax issues related to a 529 plan account withdrawal.