Securities Lawyers Blog

There are Recent Customer Complaints with Broker Darcy Dahl in Firm Morgan Stanley

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darcy Dahl (Dahl), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dahl 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 November 14, 2023.

Customer alleges, inter alia, unsuitability with respect to Municipal Bond investments – 2021 to 2022

There are Recent Customer Complaints with Broker Lora Loving in Firm Edward Jones

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lora Loving (Loving), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Loving 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 $247,762.00 on November 14, 2023.

Plaintiff, mother of the registered representative, asserts various claims and alleges that while serving in a fiduciary capacity, the registered representative deprived her mother of the use of funds for the registered representative’s benefit and that of her husband. Further, the registered representative borrowed funds from the Plaintiff without providing all necessary disclosures intended by FINRA and its members.

Broker David Williams in World Investments, INC. Firm Has Customer Complaint

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Williams (Williams), currently associated with World Investments, INC., 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 $22,565.00 on November 13, 2023.

The client alleged the advisor distributed an additional $50,000.00 from her Simplified Employee Pension Plan in September 2021 instead of distributing the funds from her 401k plan as requested, due to her intention to utilize the funds as a loan.

There are Recent Customer Complaints with Broker Andy Rampersaud in Firm LPL Financial LLC

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andy Rampersaud (Rampersaud), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rampersaud 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 $499,000.00 on November 10, 2023.

Claimant alleges the Respondent used a speculative strategy in her accounts that were inconsistent with her instructions, needs and financial condition.

There are Recent Customer Complaints with Broker William Hinman in Firm Equity Services, INC.

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hinman (Hinman), currently associated with Equity Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hinman 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 $300,000.00 on November 13, 2023.

Customer alleges representative recommended an unsuitable investment strategy resulting in unfavorable tax consequences

There are Recent Customer Complaints with Broker Giuseppe Mauceli in Firm Wells Fargo Advisors Financial Network, LLC

June 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 13, 2023.

Claimants allege that starting in 2021, their Financial Advisor (FA) made unsuitable investment recommendations inconsistent with their goals and investment experience.

There are Recent Customer Complaints with Broker Lien Nguyen in Firm MML Investors Services, LLC

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lien Nguyen (Nguyen), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nguyen 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 $5,001.00 on November 14, 2023.

The complainant alleges that his registered representative, misrepresented the variable annuity that he purchased on/or about March 7, 2013, and he was promised that he would receive a larger 4% return in profits on his investment.

There are Recent Customer Complaints with Broker Francis Donnelly Iii in Firm Equitable Advisors, LLC

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Donnelly Iii (Donnelly Iii), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Donnelly Iii 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 $72,331.00 on November 14, 2023.

Customer alleges RR misrepresented VUL policy sold in 2004.

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

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Mass (Mass), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mass 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 November 13, 2023.

Allegation period: June 13, 2016 the date of the first purchase of the investments at issue to November 2, 2023 the date the SOC was received. \, \, Allegations: unsuitability, misrepresentation/omission

Broker Scott Dutton in PFS Investments INC. Firm Has Customer Complaint

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Dutton (Dutton), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Dutton 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 $6,000.00 on November 14, 2023.

The customer alleged that market risks and volatility were not adequately disclosed and recommendations were not suited to a short-term time horizon.