Securities Lawyers Blog

There are Recent Customer Complaints with Broker Stuart Boxenbaum in Firm G.f. Investment Services, LLC

July 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on August 17, 2023.

Client feels REIT is illiquid and unsuitable for surviving spouse in which the account was inherited.

Broker James Williams in Newbridge Securities Corporation Firm Has Customer Complaint

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Williams (Williams), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $90,000.00 on August 21, 2023.

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

There are Recent Customer Complaints with Broker Eric Diamond in Firm Fidelity Brokerage Services LLC

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Diamond (Diamond), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Diamond 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 $25,000,000.00 on August 21, 2023.

This institutional customer, an SEC-registered public company, contends that the representative did not disclose that fixed income mutual funds could lose principal and that its investments in several fixed income mutual funds were unsuitable because they were subject to potential principal loss.

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

July 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 15, 2023.

Claimants allege financial advisor made unsuitable investment recommendations and misrepresentations from 2021 through 2022.

There are Recent Customer Complaints with Broker Michael Kelley in Firm LPL Financial LLC

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kelley (Kelley), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kelley 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 $2,000,000.00 on August 18, 2023.

Claimant alleges representative sold unsuitable products to Claimant and misrepresented the nature of the products and the fees during the time period 2003-2023.

Broker Herbert Buchbinder in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Herbert Buchbinder (Buchbinder), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Buchbinder 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 $76,000.00 on August 15, 2023.

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

Broker Talin Kalfayan in Western International Securities, INC. Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Talin Kalfayan (Kalfayan), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kalfayan 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 $10,000.00 on August 28, 2023.

The representative misrepresented the features of the product sold in 2020.

Broker Alex Stolper in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 25, 2023.

Arbitration: In or around October 2022, Claimant alleges her Financial Advisor’s (FA) wrongful placement of monies into her joint trust account caused significant tax consequences and losses \, Litigation: In or around October 2022, Plaintiff alleges her Financial Advisor’s (FA) wrongful placement of monies into her joint trust account caused significant tax consequences and losses

Broker Maria Calcena in Osaic Institutions, INC. Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maria Calcena (Calcena), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Calcena 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 $500,000.00 on August 23, 2023.

Former customer alleges unsuitability, misrepresentations and omissions, and breach of contract in connection with offshore investments

There are Recent Customer Complaints with Broker Luke Lannister in Firm Grove Point Investments, LLC

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luke Lannister (Lannister), previously associated with Grove Point Investments, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lannister 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 August 29, 2023.

Client alleges that Financial Professional misrepresented a transaction-based compensation arrangement as a performance-based compensation arrangement, placed discretionary trades without the client’s prior permission, and churned the client’s account. Timeframe is May 25, 2022 to May 25, 2023.