Securities Lawyers Blog

Broker Ann Greene in Oppenheimer & CO. INC. Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ann Greene (Greene), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Greene 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 $5,473,610.58 on August 28, 2023.

Plaintiffs allege John Woods and Michael Mooney conducted a Ponzi Scheme and that Gordon Morse and Ann Greene failed to supervise. From 2008-2021.

Broker Michael Persinski in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Persinski (Persinski), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Persinski 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 $56,000,000.00 on August 24, 2023.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, third party beneficiary breach of contract, violation of Regulation BI, and negligent supervision related to alleged failure to provide advice on a concentrated position and alleged recommendation to use a line of credit to further concentrate their assets.

Broker Robert Thornton in J.P. Morgan Securities LLC Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Thornton (Thornton), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thornton 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 $691,000.00 on August 25, 2023.

Customer alleges failure to supervise. Activity dates 2017 – 3/2023.

There are Recent Customer Complaints with Broker Ronald Gelok in Firm Aag Capital, Inc

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Gelok (Gelok), currently associated with Aag Capital, Inc, has at least one disclosable event. These events include one customer complaint, alleging that Gelok 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 August 28, 2023.

Client claimed not to understand indexed life insurance policy from Minnesota Life

Broker Gordon Morse in Oppenheimer & CO. INC. Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gordon Morse (Morse), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Morse 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 $5,473,610.58 on August 28, 2023.

Plaintiffs allege John Woods and Michael Mooney conducted a Ponzi Scheme and that Gordon Morse and Ann Greene failed to supervise. From 2008-2021.

Broker Kelly Lawson in Arete Wealth Management, LLC Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelly Lawson (Lawson), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lawson 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 $100,001.00 on August 23, 2023.

The Statement of Claim names Portsmouth Financial as the respondent. Rep is named as account executive responsible for handling the transactions. Claims against the firm (Respondent) include Violation of FINRA Rules of Fair Practice, Unsuitable recommendations, and Supervision and Disclosure failures.

Broker Bryce Jones in Independent Financial Group, LLC Firm Has Customer Complaint

July 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 01, 2023.

Claimant alleges unsuitable investment recommendations and failure to follow instructions in March 2021.

There are Recent Customer Complaints with Broker Jay Nova in Firm Charles Schwab & Co., INC.

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jay Nova (Nova), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Nova 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 $15,829.66 on September 04, 2023.

Client alleges representative provided poor investment advice between January 13, 2023, and July 19, 2023.

Broker Christiana Webb in Truist Investment Services, INC. Firm Has Customer Complaint

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christiana Webb (Webb), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Webb 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 $1,500,000.00 on August 31, 2023.

Client alleges, inter alia, that her accounts were not managed in her best interests 2021-2023

There are Recent Customer Complaints with Broker Acie Hylton in Firm Truist Investment Services, INC.

July 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 30, 2023.

Client alleges the investment was misrepresented and that they expected a fix rate of return when they agreed to the investment on July 30 2021.