Securities Lawyers Blog

Broker Eric Luckey in Stonex Securities INC. Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Luckey (Luckey), currently associated with Stonex Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Luckey 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 $7,746.00 on July 01, 2025.

Claimants alleged that, after their father’s passing, his money continued to be invested without Claimants’ permission, resulting in a loss on the account.

Broker Alfonso Figueroa Bello in Stonecrest Capital Markets, INC. Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Alfonso Figueroa Bello (Figueroa Bello), previously associated with Stonecrest Capital Markets, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Figueroa Bello concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,300,000.00 on July 02, 2025.

Claimant alleges misconduct from 12/2017 to 8/2022 for Suitability, Excessive Trading, Unauthorized Trading, Churning

Broker Molly Vannier in Edward Jones Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Molly Vannier (Vannier), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Vannier 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 $55,000.00 on November 15, 2022.

Plaintiff, individually and as personal representative of the client's estate, asserts various claims alleging Defendants failed to properly disburse decedent's accounts. Specifically, Plaintiff alleges that on or about September 27, 2021, Defendants permitted a disbursement from the decedent's account to another individual when the Plaintiff was the proper beneficiary.

Broker Olivier Gillier in Tigress Financial Partners, LLC Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Olivier Gillier (Gillier), previously associated with Tigress Financial Partners, LLC, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Gillier concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,100,000.00 on July 02, 2025.

Claimant alleges misconduct from 12/2017 to 8/2022 for Suitability, Excessive Trading, Unauthorized Trading, Churning and Failure to Supervise.

There are Recent Customer Complaints with Broker Scott Droskie in Firm Wells Fargo Clearing Services, LLC

January 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 22, 2025.

The client verbally complained that the Financial Advisor used accounts for collateral against a credit line and without her permission. (10/22/2020 – 7/22/2025)

There are Recent Customer Complaints with Broker Jorge Valdes in Firm the Leaders Group, INC.

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge Valdes (Valdes), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Valdes 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 $96,300.00 on June 13, 2025.

Consisting of Twisting, Misrepresenting, Forgery/False Attestation.

There are Recent Customer Complaints with Broker Troy Brown in Firm Edward Jones

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Brown (Brown), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $75,000.00 on April 22, 2024.

Administrator of client's estate alleges financial advisor violated his fiduciary duty owed to client by permitting the POA to name himself as sole beneficiary of client's account when he allegedly knew client had diminished capacity.

There are Recent Customer Complaints with Broker Sergio Kindler in Firm Osaic Wealth, INC.

January 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 30, 2025.

THE CLAIMANT ALLEGES THAT THE RECOMMENDATION OF A MUNICIPAL BOND FUND WAS NOT IN KEEPING WITH HER INVESTMENT NEEDS AND OBJECTIVES, AND THAT FULL DISCLOSURE WAS NOT MADE REGARDING THE RISKS ASSOCIATED WITH THE INVESTMENT.

Broker Michael Mullen in B. Riley Wealth Management Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mullen (Mullen), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Mullen 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 $781,536.00 on December 05, 2024.

Claimant alleges Mr. Mullen, who was not Claimant's broker, profited from the sale of securities where alleged affiliate relationships were undisclosed. Claimant did not allege a time period.

Broker Alfred Block in Buckman, Buckman & Reid, INC. Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Alfred Block (Block), currently associated with Buckman, Buckman & Reid, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Block concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $2,225,000.00 on June 05, 2025.

Churning