Securities Lawyers Blog

There are Recent Customer Complaints with Broker Danny Young in Firm Kovack Securities INC.

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danny Young (Young), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Young 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 $800,000.00 on April 12, 2021.

Claimants allege that representative sold them risky, high-fee investments in 2015 and 2016 which were unsuitable for their investment needs and inconsistent with their investor profiles.

There are Recent Customer Complaints with Broker Jeffrey Everson in Firm Liberty Partners Financial Services, LLC

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Everson (Everson), previously associated with Liberty Partners Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Everson 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 April 12, 2021.

Customer complained on losses of a fixed annuity in 2018

There are Recent Customer Complaints with Broker Sean Mahoney in Firm Western International Securities, INC.

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mahoney (Mahoney), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mahoney 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 April 12, 2021.

Breach of Contract

Broker Joyanna Argeny Wildern in LPL Financial LLC Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joyanna Argeny Wildern (Argeny Wildern), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Argeny Wildern 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 $5,000.00 on April 14, 2021.

Client alleges that 2019 variable annuity purchase was unsuitable.

There are Recent Customer Complaints with Broker Todd Sanders in Firm PHX Financial, INC.

February 22, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Todd Sanders (Sanders), previously associated with PHX Financial, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Sanders concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $4,800,000.00 on April 12, 2021.

Fraud, Churning, Unauthorized trading, excessive commissions

Broker W Gerety in Ages Financial Services, Ltd. Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker W Gerety (Gerety), previously associated with Ages Financial Services, Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Gerety 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 $999,999.00 on April 12, 2021.

In 2016 client invested $100,000 in a natural gas investment with tax advantages. In 2017 client invested $2,000,000 in a diversified portfolio of alternative investments.

There are Recent Customer Complaints with Broker Robert Micone in Firm LPL Financial LLC

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Micone (Micone), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Micone 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 April 09, 2021.

Claimant alleges his financial professional recommended he invest in two allegedly unsuitable business development complanies. Activity period: 12/2013 – 4/2021.

There are Recent Customer Complaints with Broker Daniel Sherman in Firm Morgan Stanley

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Sherman (Sherman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Sherman 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 $259,743.41 on April 09, 2021.

Claimant alleges, inter alia, unsuitability with respect to investment and management of account \\u00e2?” October, 2006 to May, 2020

Broker Michael Dellaporta in B.b. Graham & Company, INC. Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Dellaporta (Dellaporta), previously associated with B.b. Graham & Company, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Dellaporta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 14, 2021.

Without admitting or denying the findings, Dellaporta consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation into Dellaporta’s involvement in an outside business activity.

There are Recent Customer Complaints with Broker Morton Tinkelman in Firm Oppenheimer & CO. INC.

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morton Tinkelman (Tinkelman), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Tinkelman 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 $55,245.00 on April 12, 2021.

Failure to follow instructions