Securities Lawyers Blog

Broker James Louderbaugh in Oppenheimer & CO. INC. Firm Has Customer Complaint

July 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2020.

Cause of action is breach of fiduciary duties, related to an allegation that the Registered Representative failed to ascertain the scope of authority granted by Claimant in a Power of Attorney to a third-party, in connection with Claimant’s account. Time Period – 12/1/2016 to 7/1/2019

Broker Robert Radli in Raymond James & Associates, INC. Firm Has Customer Complaint

July 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Radli (Radli), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Radli 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 $800,000.00 on March 24, 2020.

Client alleges unsuitable makeup of investments which resulted in losses. Allegation Activity Dates: 6/3/11 – 2/28/20.

Broker Corydon Wheat in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2020.

Client verbally complained a portion of his trade instructions was not completed as he instructed. Remainder of instructions were completed in trade corrections resulting in correction losses. (3/11/2020)

Broker Jonathan Mirer in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 24, 2020.

Claimants allege FA over-concentrated their portfolio in unsuitable investments.

There are Recent Customer Complaints with Broker Scott Blando in Firm Edward Jones

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Blando (Blando), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Blando 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 $50,000.00 on March 27, 2020.

Plaintiffs, as executor and personal representative of Estate, allege that beneficiaries were not designated according to the instructions of the decedent in October 2018. As a result, Plaintiffs did not receive distributions of approximately $50,000.00.

There are Recent Customer Complaints with Broker Samuel Fahsholtz in Firm Stifel, Nicolaus & Company, Incorporated

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Fahsholtz (Fahsholtz), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Fahsholtz 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 $90,000.00 on March 27, 2020.

Claimant alleges common law fraud, breach of fiduciary duty, negligence, breach of contract, violation of Washington Consumer Protection Act, and violation of Securities Act of Washington

There are Recent Customer Complaints with Broker Brian Rosen in Firm Southeast Investments, N.c., INC.

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Rosen (Rosen), currently associated with Southeast Investments, N.c., INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosen 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 $520,000.00 on March 30, 2020.

Customers alleged the advisor’s recommendation to purchase variable annuities, in October 2014,\<char_lb_r>\, was not the most suitable choice for them and the product was misrepresented.

There are Recent Customer Complaints with Broker Ruse Brown in Firm UBS Financial Services INC.

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ruse Brown (Brown), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $250,000.00 on March 30, 2020.

Time frame: 2017-2018\<char_lb_r>\, Claimants’ counsel alleges unsuitability, misrepresentation, and negligence with respect to recommendations to invest in bonds.

Broker Donald Durando in PHX Financial, INC. Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Durando (Durando), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Durando 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 $650,000.00 on March 30, 2020.

Unsuitable investments

Broker Mathew Tong in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mathew Tong (Tong), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tong 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 $43,770.00 on March 27, 2020.

Client alleges suitability regarding managed account investment. Activity dates 03/18/2020-03/18/2020.