Securities Lawyers Blog

There are Recent Customer Complaints with Broker Samantha Anderson in Firm Edward Jones

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samantha Anderson (Anderson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $5,000.00 on May 20, 2025.

Client alleges she instructed financial advisor to invest her funds into a money market fund and the financial advisor failed to do so, resulting in loss of interest which she expects to be reimbursed.

There are Recent Customer Complaints with Broker Jared Ranger in Firm LPL Financial LLC

July 23, 2025 | by Staff Attorney

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

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

Customers allege they suffered losses as a result of unsuitable investment recommendations relating to a fixed index annuity. Timeframe: June 2019 – January 2025

Broker Michael Shanahan in LPL Financial LLC Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

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

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

Customer alleges failure to follow instructions and that certain investments were not in her best interest.

Broker Matthew Metzger in Cetera Wealth Services, LLC Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 22, 2025.

Client alleged that certain features of the annuity product purchased in May of 2014 were misrepresented by the Representative.

There are Recent Customer Complaints with Broker David Mcquade in Firm LPL Financial LLC

July 23, 2025 | by Staff Attorney

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

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

Customer alleges failure to follow instructions and that certain investments were not in her best interest.

There are Recent Customer Complaints with Broker Peter Po in Firm Emerson Equity LLC

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Po 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 $150,000.00 on May 22, 2025.

Claim states breach of contract, breach of fiduciary duty, fraud, negligence and gross negligence, violation of Best Interest obligation for investment in corporate bonds originally invested in 2017 and renewed in 2020. The issuer declared bankruptcy and is in the process of executing a wind-down trust with intended distributions to bond holders.

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

July 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 18, 2025.

Client alleges misrepresentation from April 2024-May 2025.

Broker T Thompson in Truist Investment Services, INC. Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker T Thompson (Thompson), previously associated with Truist Investment Services, INC., has at least 5 disclosable events. These events include 5 customer complaints, 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 on May 22, 2025.

Client alleges her money was mismanaged.

There are Recent Customer Complaints with Broker Mark Wilburn in Firm LPL Financial LLC

July 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $2,000,000.00 on May 19, 2025.

Customer alleges that investments made in ETFs and variable annuities during the time period January 2020 to March 2022 were inappropriate for the customer’s investment objectives and risk tolerance, and that representative made alleged misrepresentations concerning the investments.

Broker Michael Ginestro in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Ginestro (Ginestro), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ginestro 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 $2,400,000.00 on May 19, 2025.

Claimant alleges unsuitable investment strategy, misrepresentation, omission of material facts and failure to act in their best interest from 2019 to 2023.