Securities Lawyers Blog

Broker Brian Everett in Cetera Advisors LLC Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Everett (Everett), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Everett 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 January 11, 2024.

Claimant alleges unsuitable recommendations and over concentration in alternative investments

Broker Richard Neuman in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2024.

Client alleges failure to satisfy fiduciary responsibilities.

Broker Patrick Mendenhall in Usca Securities LLC Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

Currently financial advisor Patrick Mendenhall (Mendenhall), currently employed by brokerage firm Usca Securities LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 $5,000,000.00 on January 12, 2024.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,000,000.00 on October 05, 2023.

Broker Leo Rosner in Cambridge Investment Research, INC. Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leo Rosner (Rosner), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosner 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 $700,000.00 on January 17, 2024.

Statement of Claim alleges the financial professional recommended an unsuitable investment. Claimants suggest the investment was misrepresented to them.

Broker Yu Bai in Landolt Securities, INC. Firm Has Customer Complaint

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yu Bai (Bai), previously associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bai 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 $25,000.00 on January 23, 2024.

Almost 3.5 years after client purchased GWG L Bonds, and almost 2 years following GWG Holdings Inc. filing for Chapter 11 bankruptcy protection, the customer is now alleging that their L bond purchases from August 2020 were improperly sold.

There are Recent Customer Complaints with Broker Eric Reed in Firm MML Investors Services, LLC

June 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 22, 2024.

The Trustee alleges that he was not presented with any options other than the recommended five (5) variable universal life insurance policies he purchased in December 2021.

There are Recent Customer Complaints with Broker Jennifer Lander in Firm Realta Equities, INC.

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Lander (Lander), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lander 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 $200,000.00 on January 18, 2024.

Claimant alleges unsuitable investments.

Broker Michael Madden in Raymond James & Associates, INC. Firm Has Customer Complaint

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Madden (Madden), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Madden 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 $220,000.00 on January 19, 2024.

Claimant alleges FAs failed to follow her instructions to re-invest dividends from specified securities.

There are Recent Customer Complaints with Broker John Patock in Firm Moloney Securities Co., INC.

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Patock (Patock), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Patock 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 $150,000.00 on January 19, 2024.

Suitability/negligence. 2021

There are Recent Customer Complaints with Broker Brian Dunn in Firm Mercury Investment Services LLC

June 7, 2025 | by Staff Attorney

Previously financial advisor Brian Dunn (Dunn), previously employed by brokerage firm Mercury Investment Services 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 $2,000,000.00 on January 24, 2024.

Registered Representatives registered with Growth Capital Services, Inc. alleged to have sold fraudulent private placements to their customers. Customers filed suit and named me as a co-respondent.