Securities Lawyers Blog

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

July 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Yahnian (Yahnian), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yahnian 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 $25,000.00 on August 03, 2023.

[REDACTED]’s co-trustee alleges that Mr. Yahnian, the advisor of record on their Family Trust Account, converted funds in the Trust account for personal use.

Broker Angel Tineo in Citigroup Global Markets INC. Firm Has Customer Complaint

July 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 03, 2023.

Client alleged unauthorized trading pertaining to securities sales on May 9, 2023.

Broker Laurence Knowlton in Rockefeller Financial LLC Firm Has Customer Complaint

July 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Laurence Knowlton (Knowlton), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Knowlton 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 $185,000.00 on August 08, 2023.

Time frame: 2014-2022 Claimant, through counsel, alleges negligence, unsuitability, and misrepresentation in recommending a securities-backed line of credit. Further, Claimant alleges advisor recommended unsuitable investments.

There are Recent Customer Complaints with Broker Ted Oliver in Firm Davenport & Company LLC

July 14, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Ted Oliver (Oliver), previously associated with Davenport & Company LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Oliver concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $120,000.00 on August 02, 2023.

Reverse churning and over concentration. Beginning in October 2021.

Broker Joseph Smith in Kingswood Capital Partners, LLC Firm Has Customer Complaint

July 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 04, 2023.

BREACH OF CONTRACT, VIOLATION OF STATE SECURITIES STATUTES, BREACH OF FIDUCIARY DUTY, CLAIMS UNDER COMMON LAW AND VICARIOUS LIABILITY.

There are Recent Customer Complaints with Broker Eugene Robinson in Firm H. Beck, INC.

July 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Robinson (Robinson), previously associated with H. Beck, INC., has at least one disclosable event. These events include one customer complaint, alleging that Robinson 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 $882,557.00 on August 08, 2023.

Claimant alleges unsuitability, breach of fiduciary duty and negligence related to Centerpointe tenant in common interests offered by ColeCapital Partners, LLC. Activity occurred July 31, 2007 to November 19, 2019.

There are Recent Customer Complaints with Broker Shawn Clark in Firm Kalos Capital, INC.

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Clark (Clark), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $100,000.00 on August 14, 2023.

Client alleges registered representative recommended an unsuitable investment.

Broker James Margraf in Center Street Securities, INC. Firm Has Customer Complaint

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Margraf (Margraf), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Margraf 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 $50,000.00 on August 08, 2023.

Client alleges registered representative recommended an unsuitable investment.

There are Recent Customer Complaints with Broker Jessica Mosman in Firm MML Investors Services, LLC

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jessica Mosman (Mosman), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mosman 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 $22,312.92 on August 11, 2023.

The policyowner alleges that the purchase of the variable annuities in August and October 2021 were not suitable investment products for him and that the RR did not explain the features of the investment preservation rider and surrender charge periods associated with variable annuity policies. The policyowner has requested a refund of his initial investment.

Broker Tyler Malek in Cetera Advisor Networks LLC Firm Has Customer Complaint

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Malek (Malek), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Malek 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 $5,000.00 on August 10, 2023.

Client is unhappy with her immediate fixed annuity and was not aware she would have limited access to her funds.