Securities Lawyers Blog

Broker Stephen Fry in Woodbury Financial Services, INC. Firm Has Customer Complaint

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Fry (Fry), previously associated with Woodbury Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fry 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 $1,300,000.00 on July 17, 2020.

Client alleged the representative utilized her funds for his own use and benefit.

There are Recent Customer Complaints with Broker Karleen Halliwell in Firm Rockefeller Financial LLC

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karleen Halliwell (Halliwell), currently associated with Rockefeller Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Halliwell 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 July 21, 2020.

Time frame: 2019-2020\<char_lb_r>\, Claimants’ counsel alleges misrepresentation and negligence with respect to recommendation to invest in a mutual fund presented as a money market alternative.

Broker Bain Chadsey in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bain Chadsey (Chadsey), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chadsey 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 July 22, 2020.

Attorney for client alleged that the financial advisor transacted numerous trades in the account with no appreciable benefit to the client but generated commissions. (6/29/2002-7/19/2016)

There are Recent Customer Complaints with Broker Barry Rubin in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Rubin (Rubin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rubin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 20, 2020.

The beneficiaries allege that the Trustee failed to pay insurance premiums resulting in a policy lapse.

Broker Kenneth Mcguire in Aag Capital, Inc Firm Has Customer Complaint

July 7, 2026 | by Staff Attorney

Currently financial advisor Kenneth Mcguire (Mcguire), currently employed by brokerage firm Aag Capital, Inc has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $125,000.00 on July 20, 2020.

The clients invested in two privately-held REITs in 2014. The REITs went public in 2018 and their values declined on the open market. The clients allege that the recommendation of the REITS, was unsuitable.

Broker Thomas Freeze in Raymond James Financial Services, INC. Firm Has Customer Complaint

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Freeze (Freeze), previously associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Freeze 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 $46,410.00 on July 21, 2020.

Client alleges advisor misrepresented the features of an annuity.

Broker Carmine Lopresti in Osaic Wealth, INC. Firm Has Customer Complaint

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carmine Lopresti (Lopresti), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lopresti 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 July 17, 2020.

Claimants allege fraud, negligence, breach of fiduciary duty, and breach of contract

There are Recent Customer Complaints with Broker Dale Walts in Firm Gwn Securities INC.

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dale Walts (Walts), previously associated with Gwn Securities INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Walts 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 $10,596.00 on July 21, 2020.

During the fall of 2019 the client met the with representative for their review. Part of the review was a discussion surrounding the clients 403b loan amount. The representative made an erroneous recommendation to the client on how to pay off the loan which in turn created a tax liability for the client in 2020. The representative filed an E&O claim with both the BD’s policy and an additional active policy he had with his previous firm. Both E&O carriers have resolved the claim with the client.

There are Recent Customer Complaints with Broker Eduardo Gonzalez in Firm UBS Financial Services INC.

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eduardo Gonzalez (Gonzalez), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gonzalez 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 $415,000.00 on July 20, 2020.

Claimant alleges the recommendation to invest and hold PR municipal bonds was unsuitable and that his account was over-concentrated in these investments. Claimant also alleges that the risk of investing in and concentration in Puerto Rico investments was misrepresented.

Broker Stephen Mills in Morgan Stanley Firm Has Customer Complaint

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Mills (Mills), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, 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 on July 17, 2020.

Attorney for estate alleged, inter alia, that new FA team did not prevent conversion of funds by POA from accounts of now deceased client- 2013 to 2019