Securities Lawyers Blog

There are Recent Customer Complaints with Broker Matthew Black in Firm Cambridge Investment Research, INC.

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Black (Black), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Black 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 $57,096.92 on January 11, 2023.

Clients allege that a recommendation to invest in Schwab Intelligent Portfolios, an automated investing service, in or around November 2021 was unsuitable. They further allege that their request to terminate the service and liquidate the accounts in June 2022 did not take place timely, causing further damages.

Broker James Morman in Edward Jones Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Morman (Morman), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Morman 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 $8,717.77 on January 12, 2023.

The client alleges the financial advisor failed to follow instructions and made unauthorized mutual fund trades.

Broker Andrew Krauss in Equitable Advisors, LLC Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 12, 2023.

Client alleges RR recommended an unsuitable managed account in 2022.

There are Recent Customer Complaints with Broker Joseph Sheperis in Firm J.P. Morgan Securities LLC

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Sheperis (Sheperis), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sheperis 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 $43,746.00 on January 11, 2023.

Customer alleges misrepresentation and unsuitable recommendation. Activity dates 10.26.2021 – 12.20.2021.

There are Recent Customer Complaints with Broker John Fronckowiak in Firm Nylife Securities LLC

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Fronckowiak (Fronckowiak), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fronckowiak 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 $7,000.00 on January 09, 2023.

The customer alleged she communicated to RR Fronckowiak that she did not want an investment exposed to the stock market. However, she later realized her funds were invested in a variable annuity.

Broker Patrick Sizemore in Vanguard Marketing Corporation Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Sizemore (Sizemore), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Sizemore 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, 2023.

Client alleges that the advisor did not follow her instructions to convert her Traditional IRA to her Roth IRA for tax year 2023. The conversion took place in tax year 2022 which caused the client to be placed in a higher tax bracket and resulted in additional IRS tax liabilities. The activity dates leading to the allegation were December 28, 2022, through December 30, 2022.

There are Recent Customer Complaints with Broker Fermin Mesina in Firm Osaic Institutions, INC.

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fermin Mesina (Mesina), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mesina 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 $500,000.00 on January 11, 2023.

Respondent failed to perform adequate due diligence and concentrated a large portion of the client’s net worth into this investment vehicle.

Broker Gerald Coyne in Cuso Financial Services, L.p. Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Coyne (Coyne), previously associated with Cuso Financial Services, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Coyne 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 $337,000.00 on January 10, 2023.

Misrepresentation related to an investment recommendation to purchase a VA on or about May 19, 2014.

There are Recent Customer Complaints with Broker Steven Skipper in Firm Cetera Advisors LLC

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Skipper (Skipper), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Skipper 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 $400,000.00 on January 11, 2023.

Customers allege misrepresentation. Activity period 1/1/12 to 1/26/20.

Broker Aileen Low in Edward Jones Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aileen Low (Low), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Low 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 $33,358.43 on January 11, 2023.

Trustee alleges that the FA did not advise her that investing funds in Advisory Solutions accounts could result in losing value. Additionally, the client alleges that there was too much risk exposure in the accounts for the investment time horizon and that the FA did not act in her (or the beneficiaries) best interest.