Securities Lawyers Blog

Broker David Spiegel in Axa Advisors, LLC Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Spiegel (Spiegel), previously associated with Axa Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spiegel 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 $5,000.00 on May 21, 2025.

Client alleges the RR made misrepresentations in connection with a variable life insurance policy purchased in 1996.

There are Recent Customer Complaints with Broker Heath Goldstein in Firm Vestech Securities, INC.

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heath Goldstein (Goldstein), currently associated with Vestech Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldstein 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 $9,600.00 on May 20, 2025.

Unsuitable Investment Recommendation and misleading

There are Recent Customer Complaints with Broker Jonna Keller in Firm Osaic Wealth, INC.

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonna Keller (Keller), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Keller 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 $5,000.00 on May 19, 2025.

Trustee alleges that a REIT purchase was misrepresented.

Broker Reza Zafari in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reza Zafari (Zafari), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Zafari 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 $2,400,000.00 on May 19, 2025.

Claimant alleges unsuitable investment strategy, misrepresentation, omission of material facts and failure to act in their best interest from 2015 to 2023.

There are Recent Customer Complaints with Broker Andrew Ciccone in Firm Kestra Investment Services, LLC

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Ciccone (Ciccone), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ciccone 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 $500,000.00 on May 23, 2025.

Starting in May 2021, the client alleges the representative provided specific trading guidance and trading strategies that were not in the client’s best interest.

Broker Matthew Mcfarland in Fnex Capital, LLC Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Mcfarland (Mcfarland), currently associated with Fnex Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcfarland 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 $570,000.00 on May 23, 2025.

From investment activity in January and February 2020, claimants allege the following: negligence, misrepresentation, omission, breach of contract, lack of suitability, breach of fiduciary duty, elder abuse

Broker Nicholas Ruch in UBS Financial Services INC. Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Ruch (Ruch), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Ruch 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 $3,233,690.00 on May 23, 2025.

Time frame: 2016 to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.

Broker Richard Mirrielees in UBS Financial Services INC. Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Mirrielees (Mirrielees), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Mirrielees 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 $3,233,690.00 on May 23, 2025.

Time frame: 2016 to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.

There are Recent Customer Complaints with Broker William Whitworth in Firm J.P. Morgan Securities LLC

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Whitworth (Whitworth), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whitworth 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 $111,748.00 on May 29, 2025.

Customer alleges unsuitable investment recommendation. Activity date July 11, 2024.

There are Recent Customer Complaints with Broker Dwight Kay in Firm Fnex Capital, LLC

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dwight Kay (Kay), currently associated with Fnex Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kay 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 $570,000.00 on May 23, 2025.

From investment activity in January and February 2020, claimants allege the following: negligence, misrepresentation, omission, breach of contract, lack of suitability, breach of fiduciary duty, elder abuse