Securities Lawyers Blog

Broker Stephen Medina in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Medina (Medina), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Medina 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 $782,500.00 on September 27, 2023.

Client alleges misrepresentations and unsuitable investments between February 2022 and December 2022.

There are Recent Customer Complaints with Broker Ramiro Colon in Firm Acp Securities, LLC

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ramiro Colon (Colon), currently associated with Acp Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Colon 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 $5,000,000.00 on September 22, 2023.

Time frame: Unspecified. Allegations: Claimants allege that the Financial Advisor\, mispresented the risks of Puerto Rico closed-end funds.

Broker Dorann Hurley in Geneos Wealth Management, INC. Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dorann Hurley (Hurley), currently associated with Geneos Wealth Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hurley 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 $519,475.00 on September 26, 2023.

Clients allege that accounts held with Respondents were not properly managed and assert various causes of action arising from management of the accounts at issue.

Broker Leslie Highley in UBS Financial Services Incorporated of Puerto Rico Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 22, 2023.

Time frame: Unspecified.\, \, Allegations: Claimants allege that the Financial Advisor mispresented the risks of Puerto Rico closed-end funds.

Broker Neil Kitchie in LPL Financial LLC Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Kitchie (Kitchie), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kitchie 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 $50,001.00 on September 27, 2023.

Customer alleges representative made unsuitable recommendations to purchase alternative investments during the time period 2010-2014.

Broker S Powers in Morgan Stanley Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker S Powers (Powers), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Powers 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 $550,000.00 on September 26, 2023.

Claimant alleges, inter alia, breach of fiduciary duty with respect to the lack of detection of the alleged outside fraud perpetuated against the client.

There are Recent Customer Complaints with Broker Douglas Coleman in Firm LPL Financial LLC

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Coleman (Coleman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coleman 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 $70,000.00 on September 22, 2023.

Claimant alleges LPL representatives made an unsuitable recommendation in 2013 to purchase an alternative investment.

There are Recent Customer Complaints with Broker Miguel Ferrer in Firm UBS Financial Services Incorporated of Puerto Rico

July 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 22, 2023.

Time frame: Unspecified.\, \, Allegations: Claimants allege that the Financial Advisor mispresented the risks of Puerto Rico closed-end funds.

Broker Mark Heater in Vanguard Marketing Corporation Firm Has Customer Complaint

July 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 28, 2023.

Client alleges that the advisor invested in bond instruments during a period of rising interest rates resulting in over $25,000.00 in unrealized losses.

Broker Austin Murphy in Thurston Springer Financial Firm Has Customer Complaint

July 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Murphy (Murphy), currently associated with Thurston Springer Financial, has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $2,068,123.00 on September 29, 2023.

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