Securities Lawyers Blog

There are Recent Customer Complaints with Broker Gregory Tucker in Firm D.a. Davidson & CO.

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Tucker (Tucker), previously associated with D.a. Davidson & CO., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tucker 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 July 07, 2020.

Client asserts statutory and common-law claims for alleged unsuitable recommendations to purchase and hold bonds during the period from 2009 to 2017. Many of the bonds were investment-grade when purchased, and beginning in 2011, shortly after the bonds were purchased, Client transferred them away from the Firm to an unrelated, outside brokerage firm. Client asserts $1.5 MM in damages, despite net proft at Firm of over $400K.

Broker Thomas Kieffer in Ceros Financial Services, INC. Firm Has Customer Complaint

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kieffer (Kieffer), previously associated with Ceros Financial Services, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Kieffer 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 $135,000.00 on July 07, 2020.

Customer filed a deficiency notice 7/2/2020 claiming breach of duties by Thomas Kieffer

There are Recent Customer Complaints with Broker James Connell in Firm Mid-atlantic Securities, INC.

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Connell (Connell), previously associated with Mid-atlantic Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Connell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 14, 2020.

Client alleged that loans were made to Plymouth Farms at the recommendation of RR, who is now deceased. RR allegedly misrepresented the financial condition of the investment.

Broker Elvira Makarevich in Thrivent Investment Management INC. Firm Has Customer Complaint

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elvira Makarevich (Makarevich), previously associated with Thrivent Investment Management INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Makarevich 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 $6,003.00 on July 22, 2020.

Customer alleged Variable Universal Life insurance contract purchased in April 2019 was unaffordable and should never have been issued to her.

There are Recent Customer Complaints with Broker Marcio Moraes Marciano Da Rocha in Firm Insigneo Securities, LLC

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcio Moraes Marciano Da Rocha (Moraes Marciano Da Rocha), previously associated with Insigneo Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Moraes Marciano Da Rocha recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $4,694,912.00 on July 21, 2020.

Claimant alleges, inter alia, that the recommendation to invest in a risky option strategy was misrepresented and unsuitable for them from November 15, 2019 to March 31, 2020.

There are Recent Customer Complaints with Broker Meghan Elliott in Firm PFS Investments INC.

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Meghan Elliott (Elliott), previously associated with PFS Investments INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Elliott recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 17, 2020.

Attorney for estate alleged, inter alia, breach of fiduciary duty and conversion of funds from accounts of now deceased client – 2011 to 2015

There are Recent Customer Complaints with Broker Jeremy Shepherd in Firm Reef Securities, INC.

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Shepherd (Shepherd), currently associated with Reef Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shepherd 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 $100,000.00 on July 20, 2020.

Suitability and Poor performance of the investment

There are Recent Customer Complaints with Broker Desmond Clark in Firm J.w. Cole Financial, INC.

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Desmond Clark (Clark), previously associated with J.w. Cole Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Clark 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 July 20, 2020.

Claimants allege unsuitable alternative investments. The account was opened in 2014.

There are Recent Customer Complaints with Broker Mark Hebert in Firm Openyield Trading LLC

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Hebert (Hebert), previously associated with Openyield Trading LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hebert recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 20, 2020.

Customer alleged that Mr. Hebert failed to disclose that the Bristol-Myers Squibb bonds sold to it on July 16,2020 were unregistered 144A securities and that the bonds were inconsistent with its portfolio guidelines.

Broker Nicholas Junta in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Junta (Junta), currently associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Junta 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 July 21, 2020.

Upon the transfer of their assets from external institutions to an advisory platform with the Firm, a client alleged that the representative did not ask her permission, nor did he explain to her that he would rebalance her entire portfolio upon implementation of their advisory account. The client also alleged that the representative did not explain the resulting capital gains tax ramifications of the portfolio implementation and that it was not suitable.