Securities Lawyers Blog

There are Recent Customer Complaints with Broker William Whitworth in Firm J.P. Morgan Securities LLC

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Whitworth (Whitworth), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whitworth 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 $111,748.00 on May 29, 2025.

Customer alleges unsuitable investment recommendation. Activity date July 11, 2024.

There are Recent Customer Complaints with Broker Dwight Kay in Firm Fnex Capital, LLC

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dwight Kay (Kay), currently associated with Fnex Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kay 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 $570,000.00 on May 23, 2025.

From investment activity in January and February 2020, claimants allege the following: negligence, misrepresentation, omission, breach of contract, lack of suitability, breach of fiduciary duty, elder abuse

Broker Charles Camilleri in Raymond James Financial Services, INC. Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Camilleri (Camilleri), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Camilleri 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 $299,720.00 on May 28, 2025.

The client alleged that the advisor transferred funds from her joint account without her consent or knowledge solely to her spouse’s name in April 2024.

There are Recent Customer Complaints with Broker David Geake in Firm American Trust Investment Services, INC.

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Geake (Geake), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Geake 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 $100,000.00 on May 27, 2025.

Suitability; failure to conduct due diligence

Broker Thomas Kelly in Aegis Capital Corp. Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kelly (Kelly), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Kelly 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 $840,000.00 on May 28, 2025.

The client, through legal counsel, alleges that the investments recommended were unsuitable.

There are Recent Customer Complaints with Broker Edward Sep in Firm LPL Financial LLC

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Sep (Sep), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sep 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 $40,000.00 on May 26, 2025.

The client alleges that her representative did not provide advice in her best interest concerning an inherited annuity, including discussing alternatives and tax consequences. 03/01/2024 to 05/26/2025

Broker Elizabeth Fitzwater in UBS Financial Services INC. Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Fitzwater (Fitzwater), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Fitzwater 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 $3,233,690.00 on May 23, 2025.

Time frame: 2016 to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.

There are Recent Customer Complaints with Broker Brian Court in Firm Aegis Capital Corp.

July 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on May 28, 2025.

Without admitting or denying the findings, Court consented to the sanction and to the entry of findings that he exercised discretion without written authorization in connection with trades in 10 customers’ accounts. The findings stated that although the customers understood that Court was placing trades in their accounts, none had given him prior written authorization to exercise discretion in their accounts and Court’s member firm did not accept any of the customers’ accounts as discretionary.

There are Recent Customer Complaints with Broker William Hancock in Firm Osaic Wealth, INC.

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hancock (Hancock), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hancock 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 $180,000.00 on May 28, 2025.

Claimants allege the unsuitable recommendation and sale of variable annuities.

Broker Kim Monchik in Spartan Capital Securities, LLC Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 27, 2025.

Respondeat superior