Securities Lawyers Blog

Broker Jeffrey Higgins in Western International Securities, INC. Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Jeffrey Higgins (Higgins) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Higgins was employed by Western International Securities, INC. at the time of the activity. If you have been a victim of Higgins’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on September 23, 2025.

Misappropriation of funds.

There are Recent Customer Complaints with Broker Nader Gandevani in Firm Shopoff Securities, INC.

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nader Gandevani (Gandevani), currently associated with Shopoff Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gandevani 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 $233,000.00 on September 25, 2025.

Customer alleges that in or about 2019 the representative recommended GWG Holdings L Bonds and Red Oak Capital Fund III Bonds that were unsuitable given the customer&amp;amp;#39;s limited investment experience and risk tolerance, and misrepresented risk and outcomes. Customer claims loss of principal and unpaid interest and seeks recovery.

Broker Marat Likhtenstein in Osaic Wealth, INC. Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Marat Likhtenstein (Likhtenstein) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Likhtenstein was employed by Osaic Wealth, INC. at the time of the activity. If you have been a victim of Likhtenstein’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $155,000.00 on September 24, 2025.

Misappropriation alleged with regard to loan funds

There are Recent Customer Complaints with Broker Christopher Coppola in Firm Ameriprise Financial Services, LLC

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Coppola (Coppola), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coppola 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 $627,500.00 on September 25, 2025.

Claimant alleges Respondents did not place market orders for an IPO on behalf of Claimant.

Broker Walter Nelson in Cabin Securities, INC. Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Nelson (Nelson), currently associated with Cabin Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 September 25, 2025.

Client alleges registered representative sold unsuitable investments.

Broker James Medsker in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 24, 2025.

Claimant alleges that from 2019 through 2021, the FA failed to escalate the potential financial exploitation of the Claimant

There are Recent Customer Complaints with Broker Daniel Lerner in Firm David Lerner Associates, INC.

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Lerner (Lerner), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lerner 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 $225,000.00 on September 22, 2025.

Unsuitability, misrepresentation and omission, breach of fiduciary duty – June 9, 2017 the date of the first purchase of SOAEX to September 22, 2025 – the date the SOC was received.

There are Recent Customer Complaints with Broker Lance Hubeny in Firm Ameriprise Financial Services, LLC

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 24, 2025.

Plaintiffs allege that Defendants Ameriprise and Hubeny should have kept them informed of any attempted changed to Ms. Miesemer's annuity account and permitted beneficiary changes despite alleged knowledge of competency and undue influence issues.

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

October 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 30, 2025.

Customer alleges that the Registered Representative failed to follow instructions in 2024.

Broker Kelly Coulter in Thrivent Investment Management INC. Firm Has Customer Complaint

October 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelly Coulter (Coulter), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Coulter 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 $729,485.13 on September 03, 2025.

Client alleged funds were removed without his authorization from his accounts with Thrivent Investment Management Inc. between January 2018 and December 2020.