Securities Lawyers Blog

There are Recent Customer Complaints with Broker Kevin O’callahan in Firm Fidelity Brokerage Services LLC

January 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 07, 2024.

The customer alleges she was misled when she purchased a variable annuity in November 2021. The Customer no longer wants the annuity.

Broker Michael O’meara in LPL Financial LLC Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael O’meara (O’meara), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that O’meara 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 March 24, 2022.

Claimants allege misrepresentation and omissions made by Respondent regarding a real estate investment trust investment. Activity date 1/1/2016 to 7/19/2019.

Broker Gerard O’connell in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerard O’connell (O’connell), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that O’connell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 24, 2022.

Client alleges misrepresentation related to a bond fund purchased in March 2022.

Broker Stephanie O’hara in LPL Financial LLC Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on March 14, 2022.

The decision to offer 3.75% on the line of credit instead of 3.25% violated Reg BI and advice within investment strategy that claimant should borrow against the non-purpose loan at 3.75% rather than sell pledged stock (BGCP) which was paying 6% and disabusing claimant of claimant’s idea to liquidate shares to buy Florida home.

Broker Kevin O’brien in Wealth Enhancement Brokerage Services, LLC Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin O’brien (O’brien), currently associated with Wealth Enhancement Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that O’brien 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 $50,713.00 on May 19, 2022.

The claimant alleges the financial professional placed the claimant in moderately conservative investments as opposed to conservative or “zero risk” investments.

Broker William O’connor in Bivo Financial LLC Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William O’connor (O’connor), currently associated with Bivo Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that O’connor 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 $110,000.00 on October 31, 2022.

Failed to supervise Tony Liddle

How to Choose the Right Securities Arbitration Attorney

January 8, 2026 | by Staff Attorney

Overview

FINRA arbitration is not ordinary litigation. It is a specialized forum governed by its own rules, decided by industry-experienced arbitrators, and capable of producing consequences that follow a financial professional for the rest of their career. Selecting the right attorney in this setting is not simply about hiring a capable litigator; it is about finding counsel who understands the securities industry, the regulatory environment, and the long-term implications of arbitration outcomes.

For financial advisors facing customer claims, employment disputes, or regulatory investigations, the quality of legal representation can be the difference between career continuity and lasting professional damage. This guide explains what makes securities arbitration unique and how to identify an attorney equipped to protect both your immediate interests and your professional future.

Broker Jaden Gurney in Raymond James Financial Services, INC. Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 04, 2025.

Failure to follow instructions.

There are Recent Customer Complaints with Broker Christopher Gordon in Firm Centaurus Financial, INC.

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Gordon (Gordon), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gordon 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 $25,000.00 on October 28, 2024.

The customer alleges that the Registered Representative recommended an unsuitable Oil and Gas Investment. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Jeffrey Warren in Vanderbilt Securities, LLC Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

Currently financial advisor Jeffrey Warren (Warren), currently employed by brokerage firm Vanderbilt Securities, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on August 04, 2024.

The claimant alleges that financial advisor made unsuitable recommendations by concentrating nearly $300,000 of retirement assets into illiquid, high-commission private placements and non-traded REITs. These investments were misrepresented as safe, lacked transparency, and were inappropriate for retirees. The advisors also engaged in options trading within IRA accounts, resulting in losses estimated between $100,000 and $500,000.