Securities Lawyers Blog

There are Recent Customer Complaints with Broker Patrick Pepper in Firm LPL Financial LLC

July 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2020.

Customer amended allegations to allege misrepresentation of mutual funds.

Broker Renee Burns in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2020.

The customer alleges unsuitable investment recommendations from July 2019 until March 2020.

Broker Daniel Claric in LPL Financial LLC Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Claric (Claric), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Claric 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 $88,000.00 on March 27, 2020.

In 2018, the client’s daughter took unauthorized distributions in the amount of $88,000 from her father’s IRA that were not authorized.

There are Recent Customer Complaints with Broker Robert Gordon 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 Robert Gordon Brown (Gordon Brown), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Gordon 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 $286,582.00 on March 30, 2020.

Time Frame: March 13, 2020 \<char_lb_r>\, The client alleges her instructions to liquidate her accounts did not occur. She further alleges she was informed that the securities could instantly be sold

Broker Michael Mills in Cambridge Investment Research, INC. Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mills (Mills), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mills 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 $120,000.00 on March 26, 2020.

Client alleges RR failed to follow liquidation instructions.

There are Recent Customer Complaints with Broker Kevin Dicke in Firm MML Investors Services, LLC

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Dicke (Dicke), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dicke 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 $120,000.00 on March 30, 2020.

The customer alleged that the representative made unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Jeffrey Mathis in Firm LPL Financial LLC

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Mathis (Mathis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mathis 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 $150,000.00 on March 30, 2020.

Claimant alleges representative recommended claimant invest in an unsuitable, non-traded, registered direct participation program, United Development Funding III, and Broker breached its duty to supervise its agent and claimant’s account. The transaction occurred in 2007.

There are Recent Customer Complaints with Broker Joshua Plank in Firm MML Investors Services, LLC

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Plank (Plank), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Plank 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 $120,000.00 on March 30, 2020.

The customer alleged that the representative made unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Patrick Callaghan in Firm & partners

July 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 27, 2020.

Client complains that transactions in a discretionary account should not have happened without his knowledge. (3/19/2020-3/27/2020)

Broker Jordan Samelson 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 Jordan Samelson (Samelson), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Samelson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 30, 2020.

Claimant alleges that on or about December 2019, unauthorized trades were placed.\<char_lb_r>\, \<char_lb_r>\, \<char_lb_r>\, \<char_lb_r>\, \<char_lb_r>\, \<char_lb_r>\, \<char_lb_r>\, 04/01/2020 \<char_lb_r>\, \<char_lb_r>\, DRP \<char_lb_r>\, \<char_lb_r>\, \<char_lb_r>\, \<char_lb_r>\, Jordan Samelson (CRD 2984356): Claimant alleges that on or about December 2019, unauthorized trades were placed.