Securities Lawyers Blog

Broker Kathy Busch in Independent Financial Group, LLC Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathy Busch (Busch), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Busch 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 $50,000.00 on November 20, 2023.

Claim alleges investment was not suitable and was not in line with Claimant’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Stephen Hecker in Firm Fortune Financial Services, INC.

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Hecker (Hecker), currently associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hecker 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 November 20, 2023.

Client alleges that rep mistakenly moved money from the guaranteed interest rate portion of a variable annuity into sub-accounts that invested into the stock market thus causing the client to suffer losses

Broker Leonard Rich in Joseph Gunnar & CO. LLC Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $45,700.00 on November 21, 2023.

The client was onboarded in 2018. The client claims the broker Completed Ms. [REDACTED]’s Account Opening Forms by Inputting Incorrect Investment Objectives and Risk Tolerances and engaged in excessive trading, and the firm ignored red flags in regard to these issues.

Broker Kenyon Knight in J.P. Morgan Securities LLC Firm Has Customer Complaint

June 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenyon Knight (Knight), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Knight 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 $7,507.26 on November 21, 2023.

The customer alleges unauthorized trading. Activity dates 10.18.23 – 10.18.23.

Broker Joseph Mittica in Edward Jones Firm Has Customer Complaint

June 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Mittica (Mittica), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mittica 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 $10,000.00 on November 24, 2023.

Client (and wife) allege they wanted CD’s purchased and Financial Advisor purchased bond funds.

There are Recent Customer Complaints with Broker Michael Maggiore in Firm Equitable Advisors, LLC

June 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

There are Recent Customer Complaints with Broker Marc Drew in Firm Equitable Advisors, LLC

June 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

Broker Suzanne Charrin in Woodbury Financial Services, INC. Firm Has Customer Complaint

June 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suzanne Charrin (Charrin), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Charrin 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 $112,600.00 on November 21, 2023.

Claimants allege misrepresentation and unsuitable recommendations with regard to the sale of an alternative investment.

Broker David Lefever in Osaic Wealth, INC. Firm Has Customer Complaint

June 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lefever (Lefever), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lefever 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 $40,000.00 on November 21, 2023.

Claimant alleges misrepresentation and unsuitable recommendations with regard to the sale of an alternative investment.

There are Recent Customer Complaints with Broker Walter Meyers in Firm Osaic Wealth, INC.

June 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Meyers (Meyers), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meyers 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 $68,000.00 on November 21, 2023.

Claimant alleges misrepresentation and unsuitable recommendations with regard to the sale of an alternative investment.