Securities Lawyers Blog

Broker Patrick Everett in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Everett (Everett), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Everett 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 $5,000.00 on May 07, 2021.

The client alleged the advisor did not make investment recommendations in a timely manner in 2021.

There are Recent Customer Complaints with Broker David Goodrich in Firm Osaic Wealth, INC.

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Goodrich (Goodrich), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goodrich 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 $130,000.00 on May 05, 2021.

Customers allege the firm did not conduct adequate due diligence and the firm and representative did not fully disclose all material facts regarding the investment.

Broker Robin Platt in Cetera Investment Services LLC Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robin Platt (Platt), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Platt 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 $1,250,000.00 on May 04, 2021.

The customer alleges that the NorthStar annuities that were recommended for him in 2016 were unsuitable and that certain information regarding NorthStar’s products was misrepresented.

Broker Gary Goldberg in Centaurus Financial, INC. Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Goldberg (Goldberg), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Goldberg 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 $100,000.00 on May 06, 2021.

During the period 2012 through April 2021, the customers allege that the Registered Representative recommended unsuitable, high-risk, illiquid investments.

There are Recent Customer Complaints with Broker John Gottskalkson in Firm UBS Financial Services INC.

February 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 04, 2021.

Time Frame: November 20, 2020\, The authorized individual alleges a large amount of stock was liquidated without the full knowledge of her mother. The authorized individual further alleges her mother did not understand the tax implications of this transaction. The authorized individual finally alleges a failure to act in the best interest of the client and a breach of fiduciary duties. The alleged damages are estimated to be in excess of $5,000.00.

Broker Candido Viyella in Morgan Stanley Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Candido Viyella (Viyella) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Viyella was employed by Morgan Stanley at the time of the activity. If you have been a victim of Viyella’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on May 10, 2021.

Without admitting or denying the findings, Viyella consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he participated in private securities transactions without providing prior written notice to his member firm.

There are Recent Customer Complaints with Broker Ross Perloe in Firm National Securities Corporation

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ross Perloe (Perloe), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Perloe 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 $50,000.00 on May 06, 2021.

Suitability

There are Recent Customer Complaints with Broker Richard Martin in Firm Ameriprise Financial Services, LLC

February 18, 2026 | by Staff Attorney

Currently financial advisor Richard Martin (Martin), currently employed by brokerage firm Ameriprise Financial Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $330,430.00 on May 07, 2021.

The clients stated that they were provided incorrect amounts for their Required Minimum Requirement (RMD) distributions for 2014 and 2015 and were sold illiquid insurance policies (April 1991 through April 2015), annuities (April 2006 through April 2013), and a non-traded REITs (February 2009 through August 2014) that were inappropriate for their ages.

There are Recent Customer Complaints with Broker Lesley Atchley in Firm Osaic Wealth, INC.

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lesley Atchley (Atchley), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Atchley 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 $19,290.14 on May 07, 2021.

Customer alleges that financial professional did not disclose that exchanging prior annuity for a new annuity would result in a new surrender period.

Broker David Betz in UBS Financial Services INC. Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 04, 2021.

Time Frame: November 20, 2020 The authorized individual alleges a large amount of stock was\, liquidated without the full knowledge of her mother. The authorized individual further alleges her\, mother did not understand the tax implications of this transaction. The authorized individual finally\, alleges a failure to act in the best interest of the client and a breach of fiduciary duties. The\, alleged damages are estimated to be in excess of $5,000.00.