Securities Lawyers Blog

There are Recent Customer Complaints with Broker Heath Bowen in Firm Allegis Investment Services, LLC

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heath Bowen (Bowen), previously associated with Allegis Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowen 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 $10,500,000.00 on November 23, 2022.

Bowen was named in a customer complaint that asserted the following causes of action: Utah Uniform Securities Act, Utah Code\\u00a7 61-1-22; failed to establish reasonable supervisory procedures and reasonably supervise; unsuitable transactions; Lack of Supervision; Breach of Fiduciary Duty; Negligent Failure to Supervise; and Negligence Per Se.

Broker Tony Kassaei in Centaurus Financial, INC. Firm Has Customer Complaint

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Kassaei (Kassaei), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kassaei 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 $83,000.00 on November 21, 2022.

During the period November 2018 and February 2019, the customer alleges that the Registered Representative recommended a speculative, high-risk, illiquid and unrated investment.

Broker Joseph Winkleblack in Landolt Securities, INC. Firm Has Customer Complaint

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Winkleblack (Winkleblack), previously associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Winkleblack 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 $50,000.00 on November 22, 2022.

Client purchased GWG 5-year Renewable Secured Debentures in June 2012, which we believe automatically renewed in 2017 to GWG 5-year L Bond maturing in 2022. Customer now alleges unsuitable recommendation.

There are Recent Customer Complaints with Broker David Narish in Firm Arete Wealth Management, LLC

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Narish (Narish), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Narish 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 $50,000.00 on November 21, 2022.

Client alleges registered representative recommended an unsuitable investments not in the client’s best interest.

Broker Kurt Jackson in Commonwealth Financial Network Firm Has Customer Complaint

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Jackson (Jackson), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 $5,000.00 on November 22, 2022.

Claimants allege Kestra breached it’s fiduciary duty, made unsuitable recommendations, and misrepresented the investment product. Additionally it is alleged that Kestra failed to properly supervise and provide training to representatives.

There are Recent Customer Complaints with Broker Paul Siegel in Firm Ameriprise Financial Services, LLC

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Siegel (Siegel), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Siegel 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 $8,779.13 on November 21, 2022.

The client alleged that the advisor did not provide adequate advice on additional employer contributions for her outside 401(k) plan.

Broker David Collins in LPL Financial LLC Firm Has Customer Complaint

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Collins (Collins), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Collins 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 $15,000.00 on November 21, 2022.

Customer alleges negligence, unsuitable recommendations, negligent supervision, breach of contract and fiduciary duty in regards to an investment in a high yield corporate bond.

Broker Giasamis Sideris in Arive Capital Markets Firm Has Customer Complaint

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Giasamis Sideris (Sideris), previously associated with Arive Capital Markets, has at least one disclosable event. These events include one customer complaint, alleging that Sideris 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 $453,406.47 on November 22, 2022.

Failure to Supervise

Broker Lori Givens in United Planners’ Financial Services of America A Limited Partner Firm Has Customer Complaint

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lori Givens (Givens), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Givens 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 $14,391.00 on November 29, 2022.

Poor advice and financial planning.

Broker Shane Elsbury in Transamerica Financial Advisors, LLC Firm Has Customer Complaint

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Elsbury (Elsbury), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Elsbury 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 November 30, 2022.

Claimant purchased a $150,000, 7-year bond with GWG Holdings, Inc. in January of 2017. In April 2022, GWG Holdings, Inc. filed for Chapter 11 bankruptcy reorganization, which is still pending. Claimant alleges the bond was unsuitable and the respondent did not sufficiently convey the risks involved.