Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jennifer Ling in Firm Axiom Capital Management, INC.

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Ling (Ling), previously associated with Axiom Capital Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ling 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 $400,000.00 on June 30, 2022.

Suitability

There are Recent Customer Complaints with Broker Alvin Miller in Firm PFS Investments INC.

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alvin Miller (Miller), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $17,275.19 on June 21, 2022.

CUSTOMER ALLEGES THAT I IMPROPERLY ADVISED HER ON REDEEMING A TRUST ACCOUNT AFTER THE TRUSTEE’S DEATH.

Broker Barbara Fox in Suntrust Investment Services, INC. Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbara Fox (Fox), previously associated with Suntrust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 $27,500.00 on June 22, 2022.

Customer alleges loan was made to the advisor in the amount of 27,500, and advisor did not repay. Firm received copy of loan agreements and payments made to advisor.

There are Recent Customer Complaints with Broker Wayne Stewart in Firm Realta Equities, INC.

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Stewart (Stewart), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stewart 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 $50,001.00 on June 24, 2022.

Claimant alleges unsuitable recommendations, material misrepresentations, violation of fiduciary duty and fair dealing with customers, and failure to supervise.

Broker Cheryl Dial in Edward Jones Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cheryl Dial (Dial), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Dial 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 $32,185.62 on June 24, 2022.

Client alleges FA misrepresented the investment risk of a mutual fund which resulted in market loss to the client.

Broker Airinhos Serradas in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2022.

Claimant alleges he does not remember authorizing the representative to move funds into a money market annuity sub-account. Claimant also alleges the representative implemented an unsuitable investment strategy within the Claimant’s two variable annuities.

Broker Gary Didonna in Spire Securities, LLC Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Didonna (Didonna), previously associated with Spire Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Didonna 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 $500,000.00 on June 21, 2022.

Unsuitable investment recommendations. Client invested 300000 between 2020 and 2021.

There are Recent Customer Complaints with Broker Steven Carlsen in Firm LPL Financial LLC

November 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2022.

Claimant alleges that Financial Advisor acted recklessly and carelessly when he recommended and sold unsuitable variable annuities that entailed an unnecessary level of risk and concentration, then failed to remind client of material attributes that could have prevented a costly liquidation.

Broker Lawrence Perl in Morgan Stanley Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 23, 2022.

POA VERBALLY ALLEGED THAT BONDS WERE PURCHASED WITHOUT HER PRIOR AUTHORIZATION. THE TRADES WERE CANCELLED AT A LOSS TO FIRM IN THE AMOUNT OF $28,692.52.- February 2022 to March 2022.

There are Recent Customer Complaints with Broker Danielle Jordan in Firm Nylife Securities LLC

November 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 01, 2022.

Customers allege the two separate Variable Annuity policies they purchased in January 2021 and February 2021, respectively, were understood to provide a guarantee of the principal for a one-time fee, however they now allege this understanding was incorrect.