Securities Lawyers Blog

There are Recent Customer Complaints with Broker Juan Gonzalez Rivera in Firm Oriental Financial Services LLC

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Gonzalez Rivera (Gonzalez Rivera), currently associated with Oriental Financial Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez Rivera 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 $160,000.00 on May 26, 2020.

Period nov 2013.alleges concentration in puerto rico , misrepresentation risk, unsuitable.

Broker Juan Colon Perea in Popular Securities, LLC Firm Has Customer Complaint

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Colon Perea (Colon Perea), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Colon Perea 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 $200,000.00 on May 27, 2020.

Customer contacted the Financial Consultant (“FC”) on January 15, 2020 to place a sell order of the X2 Alternative Dividend Alpha FD A. However, the FC did not place the order until April 30, 2020. Consequently, customer claimed that this action adversely impacted its financial results and represented a material loss of approximately $200,000.00.

There are Recent Customer Complaints with Broker Marc Menton in Firm Oppenheimer & CO. INC.

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Menton (Menton), previously associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Menton 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 $485,000.00 on May 26, 2020.

Claimant alleges claims for Fraudulent Misrepresentation, Fraudulent Concealment, Negligent Misrepresentation, Negligent Concealment, Negligence, Unsuitability, Breach of Fiduciary Duty, Breach of Contract, Breach of the Implied Covenant of Good Faith and Fair Dealing, Elder Abuse. From 1/1/2010 to 12/31/2019.

Broker William Randall in Cambridge Investment Research, INC. Firm Has Customer Complaint

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Randall (Randall), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Randall 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 $40,000.00 on June 01, 2020.

Claimants allege they desired to purchased low-risk investments, but were encouraged to invest in two unsuitable investments, which caused them to sustain damages under theories of breach of fiduciary duty and breach of contract.

Broker Edgar Mock in Trustmont Financial Group, INC. Firm Has Customer Complaint

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edgar Mock (Mock), currently associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mock 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 $375,717.00 on June 02, 2020.

2012- June 2017, alleged unsuitable securities, common law fraud, breach of fiduciary duty, unjust enrichment, the failure to supervise, and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law

There are Recent Customer Complaints with Broker Michael Ryan in Firm Valic Financial Advisors, INC.

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Ryan (Ryan), currently associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ryan 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 $50,000.00 on June 01, 2020.

Client did not take his annual annuity withdrawal after his registered representative allegedly advised him that the withdrawal could be deferred and is claiming a loss of $50,000.

There are Recent Customer Complaints with Broker John Roberts in Firm Benchmark Investments, INC.

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Roberts (Roberts), previously associated with Benchmark Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Roberts 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 $8,100.00 on May 26, 2020.

Unsuitable Investments.

Broker William Morrow in Concorde Investment Services, LLC Firm Has Customer Complaint

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Morrow (Morrow), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morrow 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, 2020.

Statement of claim alleges that investments were high risk and not in line with their stated objectives and risk tolerance.

There are Recent Customer Complaints with Broker Frederick Schiller in Firm Morgan Stanley

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Schiller (Schiller), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Schiller 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 $250,000.00 on May 28, 2020.

Claimants allege, inter alia, unsuitability with respect to Puerto Rico municipal bonds investment – May 2012 to May 2020

There are Recent Customer Complaints with Broker Barry Abrams in Firm Ameriprise Financial Services, INC.

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Abrams (Abrams), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Abrams 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 $20,000.00 on June 01, 2020.

Claimant alleges respondent recommended unsuitable investments in FS Energy and Power and Corporate Capital Trust for his children’s college savings. His causes of action are negligence, breach of fiduciary duty, failure to supervise, breach of contract, misrepresentation, and violations of FINRA’s conduct rules.