Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jose Lopera Guevara in Firm Truist Investment Services, INC.

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Lopera Guevara (Lopera Guevara), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopera Guevara 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 January 22, 2024.

Client alleges representatives made unsuitable recommendations.

Broker Matthew Gillette in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Gillette (Gillette), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gillette 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 $20,437.97 on February 26, 2024.

Customer alleging instructions to keep policy in force were not followed and policy was unintentionally surrendered.

Broker Adam Mahd in MML Investors Services, LLC Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Mahd (Mahd), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mahd 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 $200,000.01 on February 26, 2024.

The complainant alleges that since approximately 2021, his registered representative invested in volatile foreign companies, and risky bank and high-risk stocks, that were not suitable or in his best interest, that resulted in him losing over $200,000.

There are Recent Customer Complaints with Broker Jonathan Harvey in Firm Janney Montgomery Scott LLC

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Harvey (Harvey), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harvey 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 $499,000.00 on February 27, 2024.

Claimants allege that their accounts held unsuitable long term fixed income products.

Broker Kevin Fretz in LPL Financial LLC Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Fretz (Fretz), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fretz 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 February 27, 2024.

Customer alleges unsuitable recommendation

There are Recent Customer Complaints with Broker Michael Brickman in Firm Pruco Securities, LLC.

June 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on February 23, 2024.

Without admitting or denying the findings, Brickman consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection to its investigation into whether he accepted personal checks made out to himself from a client.

There are Recent Customer Complaints with Broker Ismael Reyes Retana in Firm LPL Financial LLC

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ismael Reyes Retana (Reyes Retana), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reyes Retana 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 $106,000.00 on February 27, 2024.

Customer alleges failure to explain that fixed allocation in annuity was subject to credit risk of issuer.

There are Recent Customer Complaints with Broker Manuel Fernandez in Firm Truist Investment Services, INC.

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manuel Fernandez (Fernandez), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fernandez 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 $5,000,000.00 on February 27, 2024.

Clients allege high risk and unsuitable recommendations.

Broker Michael Mueller in Coastal Equities, INC. Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mueller (Mueller), previously associated with Coastal Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mueller 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 $1,500,000.00 on February 23, 2024.

The client alleges unsuitable investments.

Broker Stephen Swensen in J.w. Cole Financial, INC. Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Swensen (Swensen), previously associated with J.w. Cole Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Swensen 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 $14,400,000.00 on February 26, 2024.

Allegations against the Firm by claimants for failing to detect an alleged fraud operated away from the Firm, perpetrated by the former representative, who was affiliated with the Firm for less than two months, outside the scope of his activities with the Firm, regarding investments Claimants made with the representative after he left the Firm.