Securities Lawyers Blog

Broker Daniel Chancellor in Centaurus Financial, INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Chancellor (Chancellor), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chancellor 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 $20,000.00 on April 20, 2021.

Claimant alleges unsuitability of alternative investment which caused financial harm. The allegations include breach of fiduciary duty, violations of rules, and negligence.

Broker Bashar Hakim in LPL Enterprise, LLC Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bashar Hakim (Hakim), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hakim 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 $30,000.00 on April 15, 2021.

Client alleges the representative failed to disclose the tax consequences of withdrawing funds from her annuity.

Broker Jonathan Pyne in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Pyne (Pyne), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pyne 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 $116,000.00 on April 22, 2021.

The client alleges the investments he purchased in 2014 were unsuitable and misrepresented by the representative. The client also alleges the firm failed to adequately supervise the representative.

There are Recent Customer Complaints with Broker Anthony Smith in Firm Calton & Associates, INC.

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Smith (Smith), currently associated with Calton & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Smith 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 $85,339.41 on April 15, 2021.

Client alleged recommendations & strategy were unsuitable . Date of activity leading to the allegations was 2010

There are Recent Customer Complaints with Broker Marina Tudela in Firm Raymond James & Associates, INC.

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marina Tudela (Tudela), currently associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tudela 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 $150,000.00 on April 16, 2021.

Time frame: From 2011 through 2017. Claimant alleges his investments in Puerto Rico municipal bonds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Christopher Jacob in Saxony Securities, INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jacob (Jacob), previously associated with Saxony Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jacob 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 $9,000.00 on April 16, 2021.

Claimants alleged the representative failed to make\<char_lb_r>\, suitable recommendations and failed to conduct adequate due diligence before recommending investments.

Broker James Senglaub in Independent Financial Group, LLC Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Senglaub (Senglaub), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Senglaub 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 $342,000.00 on April 22, 2021.

Claimants allege the registered representative recommended alternative investments that were unsuitable.

There are Recent Customer Complaints with Broker Anne Machesky in Firm Osaic Wealth, INC.

February 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 20, 2021.

Claimants allege that the registered representatives recommended inappropriate investments and strategies that caused damage to Claimants\\u00e2?? Estate.

Broker Robert Fehrman in Msc – Bd, LLC Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Fehrman (Fehrman), previously associated with Msc – Bd, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fehrman 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 $1,150,000.00 on April 22, 2021.

Accredited Investor made several investments into GPB investments, including GPB Holdings II, Holdings III, Auto and NYC Development.

Broker Robert A Elmo in UBS Financial Services INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert A Elmo (Elmo), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Elmo 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 $1,312,698.56 on April 15, 2021.

Starting January 1, 2011\, Claimants’ counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses. Claimant’s counsel further alleges that Claimants’ risk profiles were changed without knowledge or consent.