Securities Lawyers Blog

Broker Lei Wang in Osaic Wealth, INC. Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lei Wang (Wang), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wang 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 October 28, 2025.

Customer alleges that a VUL purchased in 2023 was misrepresented.

Broker Ting Chen in Landolt Securities, INC. Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ting Chen (Chen), currently associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 October 27, 2025.

Claimant alleges breach of contract, violation of state securities statutes, negligence, misrepresentation, and breach of fiduciary duty related to a June 2020 GWG L Bond investment.

There are Recent Customer Complaints with Broker Roger Bowlin in Firm Aurora Securities

January 6, 2026 | 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 one disclosable event. These events include one customer complaint, 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 $475,000.00 on October 30, 2025.

Claimant alleges unsuitable investment recommendation.

There are Recent Customer Complaints with Broker Kevin Welp in Firm Vanguard Marketing Corporation

January 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 30, 2025.

CLIENT ALLEGES THAT THE ADVISOR FAILED TO PERMIT ALLOCATION OF 100% EQUITIES IN THE CLIENT\\u2019S MANAGED ACCOUNT IN MARCH 2024, RESULTING IN A SIGNIFICANT LOSS OF POTENTIAL CAPITAL APPRECIATION.

Broker Michael Sebald in Landolt Securities, INC. Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sebald (Sebald), previously associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sebald 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 $43,000.00 on October 27, 2025.

Claimant alleges negligence, breach of fiduciary duty, and negligent supervision regarding a 2020 GWG L Bonds investment.

Broker Thomas Batson in Morgan Stanley Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 27, 2025.

CLIENT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO IMPLENTATION OF CHANGE OF STRATEGY IN MANAGED ACCOUNT IN AUGUST 2025

Broker Donald Mckiernan in Landolt Securities, INC. Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Mckiernan (Mckiernan), currently associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mckiernan 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 October 27, 2025.

Claimant alleges breach of contract, violation of state securities statutes, negligence, misrepresentation, and breach of fiduciary duty related to a June 2020 GWG L Bond investment.

There are Recent Customer Complaints with Broker Richard Barber in Firm Glendale Securities, INC. / Techspeed Clearing LLC

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Barber (Barber), currently associated with Glendale Securities, INC. / Techspeed Clearing LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barber 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 $40,000,000.00 on September 15, 2025.

This Complaint details Defendants’ long-running, ongoing, securities fraud \, scheme that has defrauded investors of at least $40 million. From 2015-2023, Defendants \, sold shares in numerous corporate entities by falsely claiming that these entities had \, developed industry-disrupting technologies.

There are Recent Customer Complaints with Broker James Stames in Firm Oppenheimer & CO. INC.

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Stames (Stames), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Stames 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 $181,500.00 on October 24, 2025.

Claimant-beneficiary of a non-party client-trust asserts that Respondents were negligent and aided the trustee of the client-trust in embezzling funds from the client-trust, as well as failing to provide information requested by claimant. From 1/11/2024 to 10/23/2025

Broker Robert Thompson in the O.n. Equity Sales Company Firm Has Customer Complaint

January 6, 2026 | 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 17, 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.