Securities Lawyers Blog

There are Recent Customer Complaints with Broker Mary Duncan in Firm J.P. Morgan Securities LLC

June 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Duncan (Duncan), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Duncan 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 $8,450.00 on April 03, 2026.

Customer alleges misrepresentation regarding managed account. Activity dates 2.13.26 \\u20132.13.26\,

There are Recent Customer Complaints with Broker William Burks in Firm Centaurus Financial, INC.

June 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Burks (Burks), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Burks 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 April 20, 2026.

The customer alleges that in 2016 through 2019, the Registered Representative recommended unsuitable, high-risk, illiquid investments.

Broker Kurt Jackson in Commonwealth Financial Network Firm Has Customer Complaint

June 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Jackson (Jackson), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 March 16, 2026.

Claimant alleges the FP recommended unsuitable alternative investments.

There are Recent Customer Complaints with Broker Robert Omohundro in Firm Alexander Capital, L.p.

June 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 27, 2026.

Violation of FINRA Rule 2111 and Reg BI; Failure to supervise; violation of commercial honor and just and equitable principals of trade; Breach of fiduciary duty and Negligence. 2015 to present .

Broker Stephen Giannantonio in Aegis Capital Corp. Firm Has Customer Complaint

June 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 27, 2026.

Unsuitable investments, breach of fiduciary duty and, violation of Regulation Best Interest

Broker Adam Rosenthal in UBS Financial Services INC. Firm Has Customer Complaint

June 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 20, 2026.

Time Frame: June 3rd, 2024 to April 16th, 2026\, \, What were the allegations against the individual? The client alleges that the Financial Advisor and the Senior Wealth Strategy Associate sent out wire transfers that were illegal and without his knowledge and authorization to his ex wife.\,

Broker Jack Bruscianelli in B. Riley Wealth Management Firm Has Customer Complaint

June 18, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jack Bruscianelli (Bruscianelli), currently associated with B. Riley Wealth Management, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Bruscianelli concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on April 21, 2026.

Claimant alleges excessive trading of unsuitable investments; excessive commissions; and unauthorized trading. Activities alleged occurred between 2020 and 2024.

There are Recent Customer Complaints with Broker William Ouzts in Firm Truist Investment Services, INC.

June 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Ouzts (Ouzts), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ouzts 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, 2026.

Client received shareholder notice about an acquisition of a bank she held stock in and consulted FA about what she should do. He believed the swap would be one for one that she did not need to do anything. That was not the case and all her stock was sold and proceeds deposited too account. The cash merger payout resulted in client realizing a large capital gain and a large tax liability.

There are Recent Customer Complaints with Broker Mario Barone in Firm LPL Financial LLC

June 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 29, 2026.

Customer alleges that an investment made in 2014 was unsuitable for the customer\\u2019s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Robert Anderson in Firm Beech Hill Securities, INC.

June 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Anderson (Anderson), currently associated with Beech Hill Securities, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, 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 $2,479,000.00 on April 22, 2026.

FINRA BrokerCheck shows a final customer complaint on September 26, 2025.