Securities Lawyers Blog

There are Recent Customer Complaints with Broker David Reimer in Firm Dominari Securities LLC

November 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 13, 2025.

Time frame: Unspecified. Customer alleges breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customer's investments.

There are Recent Customer Complaints with Broker Mark Kemp in Firm Mcnally Financial Services Corporation

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Kemp (Kemp), currently associated with Mcnally Financial Services Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Kemp 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 $270,000.00 on October 06, 2025.

In November 2020, the Respondent is alleged to have recommended the Petitioner invest $170,000 in a real estate limited partnership. The Respondent is alleged to have made an unsuitable recommendation and to have made false & misleading statements as to the nature of this investment, its liquidity, and its income producing capabilities.

Broker Roger Bowlin in Aurora Securities Firm Has Customer Complaint

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Bowlin (Bowlin), currently associated with Aurora Securities, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bowlin 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 $1,000,000.00 on October 06, 2025.

Claimant alleges that investments recommended were unsuitable.

Broker Ronald Cole in Emerson Equity LLC Firm Has Customer Complaint

November 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 09, 2025.

Breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of the Massachusetts Uniform Securities Act Part 1, Chapter 110A, Section 101, sales and purchases and federal securities laws, violation of Best Interest Obligation.

Broker Mark Bailey in Kestra Investment Services, LLC Firm Has Customer Complaint

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Bailey (Bailey), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bailey 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 $1,298,000.00 on October 06, 2025.

Customers allege that in March 2018, they were solicited to invest in a Life Settlement Product from SLS Strategies, LLC, that contained false and misleading information.

There are Recent Customer Complaints with Broker Debra Mesle in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

November 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 07, 2025.

Customer alleges failure to follow instructions relating to investment of funds in account in September 2025.

There are Recent Customer Complaints with Broker Robert Thompson in Firm the O.n. Equity Sales Company

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Thompson (Thompson), previously associated with the O.n. Equity Sales Company, has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 $2,325,953.00 on October 08, 2025.

The lawsuit alleges Thompson misappropriated monies awarded to the customer via damages associated with a commercial vehicle event to his own use between September 2023 and August 2025.

How Gana Weinstein LLP Became a National Leader in Investor-Side FINRA Arbitration

November 18, 2025 | by Staff Attorney

ow Gana Weinstein LLP Became a National Leader in Investor-Side FINRA Arbitration

Most investors never expect to battle their financial advisor, brokerage firm, or wealth manager. They trust the professional in front of them. They assume retirement accounts are handled responsibly. And when something goes wrong, many believe the loss is simply “the market.” At Gana Weinstein LLP, we exist for one reason—to show harmed investors that they are not powerless.

For more than a decade, our firm has represented individual investors in FINRA arbitration, AAA proceedings, JAMS matters, and court litigation nationwide. Through that work, we have recovered more than $475 million on behalf of clients who suffered losses through unsuitable investments, supervisory failures, retirement mismanagement, and fraud. This figure reflects years of focused advocacy across thousands of securities cases and places our firm among the most accomplished claimant-side investor-rights practices in the United States.

Broker Nicholas Wyzkiewicz in Gwn Securities INC. Firm Has Customer Complaint

November 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Wyzkiewicz (Wyzkiewicz), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Wyzkiewicz 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 $5,583.95 on May 20, 2022.

ON 5/17/2022 around 2:45pm a client [REDACTED] called rep’s Nicholas Wyzkiewicz’s office and left him a message asking to sell to cash the entire 403B account. The rep received a message after the market hours and submitted the trade immediately that night. The trade was executed as of 5/18 close. On 5/18 market dropped significantly. Client called on 5/18 and requested the rep to pay the difference of $5,583.95 because the rep’s recorded message did not make clear that trades cannot be accepted through voicemail the trade was corrected. Rep corrected the trade and paid the client the difference of $5,583.95

There are Recent Customer Complaints with Broker Craig Fishel in Firm Edward Jones

November 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2022.

This Customer Complaint did not meet our criteria for reporting initially, its being reported now due to the Settlement.