Securities Lawyers Blog

Broker Christopher Wright in Realta Equities, INC. Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Wright (Wright), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wright 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 $125,000.00 on August 28, 2025.

The claimant alleges unsuitable, illiquid, and high-risk alternative investments.

Broker Kyle Mclaughlin in RBC Capital Markets, LLC Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 09, 2025.

Client alleges, inter alia, unsuitability with respect to FA’s recommendation to open a Liquidity Access Line for investment purposes – Apr 2024 – Aug 2024.

Broker William Sines in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Sines (Sines), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sines 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 $88,000.00 on September 15, 2025.

Client alleges they were sold two products that were not in their best interest. The sale of the products occurred at prior firms.

Broker Robert Vance in Moloney Securities Co., INC. Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Vance (Vance), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Vance 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 $130,000.00 on September 15, 2025.

Suitability/negligence. 2018-2021

There are Recent Customer Complaints with Broker Theodore Ecker in Firm Ausdal Financial Partners, INC.

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Ecker (Ecker), previously associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ecker 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 $55,000.00 on July 24, 2025.

Unsuitable recommendations of alternative investments.

Broker Peter Goffin in Newbridge Securities Corporation Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 10, 2025.

Clients have asserted that they suffered financial losses related to investment recommendations.

Broker Ronald White in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 29, 2025.

Client alleges misrepresentation of tax consequences related to the surrender of variable universal life insurance policies.

There are Recent Customer Complaints with Broker Roger Barnett in Firm LPL Financial LLC

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Barnett (Barnett), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barnett 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 $125,000.00 on August 12, 2025.

Customer alleges that investments made in 2016 were unsuitable for the customer’s investment objectives and risk tolerance.

Broker Mohammad Umar Shams in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mohammad Umar Shams (Shams), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shams 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 $5,817.57 on September 26, 2025.

Claimant alleges that in reliance on misrepresentations that money market funds could be used as collateral in a retirement account

There are Recent Customer Complaints with Broker Katelyn Cordido Reese in Firm Nylife Securities LLC

November 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katelyn Cordido Reese (Cordido Reese), previously associated with Nylife Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Cordido Reese recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 22, 2025.

Customer alleged that the Non-Broker Dealer Affiliate Whole Life Insurance policy she purchased in May 2022 contains signatures that she did not provide nor authorize.