Securities Lawyers Blog

Broker Steven Hayden in Cetera Advisors LLC Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Hayden (Hayden), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hayden 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 $346,000.00 on July 11, 2022.

Claimants allege that they were recommended to invest in unsuitable alternative investments.

There are Recent Customer Complaints with Broker Nicholas Giallourakis in Firm Newbridge Securities Corporation

November 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 05, 2022.

Suitability, Breach of Fiduciary Duty, Failure to Supervise, Breach of Contract, Fraud and Violation of FINRA Rule 2210.

Broker Jennifer Marcontell in Ameriprise Financial Services, LLC Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Marcontell (Marcontell), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Marcontell 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 $250,000.00 on July 06, 2022.

The client alleges the financial advisor recommended a Net Unrealized Appreciation (NUA) strategy which was not properly executed and resulted in a higher than anticipated tax liability.

There are Recent Customer Complaints with Broker Matthew Schroeder in Firm Lincoln Financial Securities Corporation

November 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 08, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Shawn Johnson in Edward Jones Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Johnson (Johnson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $15,000.00 on July 01, 2022.

Client alleged she was misled when opening account and purchasing mutual funds.

Broker David Ward in LPL Financial LLC Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 08, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker George Schwing in Edward Jones Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Schwing (Schwing), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Schwing 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 $108,963.45 on July 06, 2022.

The Claimant, via Power of Attorney for Usufructuary, contends Edward Jones was negligent in the opening of two accounts on behalf of the usufructuary parties, failed to disclose facts related to the accounts, and conducted unauthorized trades, which trigged tax liability and blocked access to funds. Relevant period February 25, 2021 through July 5, 2022.

There are Recent Customer Complaints with Broker Kevin Mcgrady in Firm LPL Financial LLC

November 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 08, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker John Crowley in Firm Citigroup Global Markets INC.

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Crowley (Crowley), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Crowley 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 $100,000,000.00 on July 05, 2022.

Allegations are the CBNA knew of client’s fraudulent conduct but did not timely exit the client.

Broker Robert Lefkowitz in Sw Financial Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lefkowitz (Lefkowitz), previously associated with Sw Financial, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lefkowitz 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 July 11, 2022.

Unsuitable transactions, overconcentration, breach of contract, misrepresentation