Securities Lawyers Blog

There are Recent Customer Complaints with Broker Sandra White in Firm Mercer Allied Company, L.p.

July 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandra White (White), previously associated with Mercer Allied Company, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that White 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 $30,000.00 on August 05, 2020.

In a claim brought against a prior firm, Claimant alleged that Ms. White made unsuitable investment recommendations while she was registered with that prior firm. The claim also alleged that the prior firm did not perform adequate due diligence on products sold or provide proper supervision.

There are Recent Customer Complaints with Broker Gary Cowan in Firm Robert W. Baird & CO. Incorporated

July 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Cowan (Cowan), previously associated with Robert W. Baird & CO. Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cowan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 31, 2020.

The [REDACTED] each allege unauthorized trading, failure to follow instructions, overconcentration, and unsuitable recommendations.

Broker Russell Stein in Raymond James & Associates, INC. Firm Has Customer Complaint

July 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Stein (Stein), currently associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 05, 2020.

Client alleges unauthorized trading and unsuitable investments. 12/4/09 – 6/30/21

Broker Rebecca Kettner in Cetera Investment Services LLC Firm Has Customer Complaint

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rebecca Kettner (Kettner), previously associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kettner 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 April 09, 2020.

Client complaint is rep failed to rebalance her portfolio as instructed.

There are Recent Customer Complaints with Broker Yidan Zheng in Firm Allied Millennial Partners, LLC

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yidan Zheng (Zheng), previously associated with Allied Millennial Partners, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zheng 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 April 12, 2020.

Alleges unauthorized trading between December 2019 to March 2020.

There are Recent Customer Complaints with Broker Shane Hopkins in Firm Foreside Fund Services, LLC

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Hopkins (Hopkins), previously associated with Foreside Fund Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hopkins 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 $200,000.00 on April 07, 2020.

Claimants assert claims of negligence, negligent supervision, breach of contract, breach of fiduciary duty and violation of FINRA Rules relating to purchase of a master limited partnership. Individual is not named as a party in the arbitration and time frame is approximately 2014 – early 2015.

Broker Christina Aldredge in M. S. Howells & CO. Firm Has Customer Complaint

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christina Aldredge (Aldredge), currently associated with M. S. Howells & CO., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Aldredge recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 08, 2020.

The complaint alleges the firm failed to act on an account transfer form and follow directives.

Broker Jose Castillo in LPL Financial LLC Firm Has Customer Complaint

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Castillo (Castillo), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Castillo 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 $391,901.00 on April 09, 2020.

Client alleges suitability regarding mutual fund investment. Activity dates 03/2020-03/2020.

Broker Dean Kernus in Ameriprise Financial Services, INC. Firm Has Customer Complaint

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Kernus (Kernus), previously associated with Ameriprise Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kernus 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 $23,804.00 on April 13, 2020.

Client alleges that an investment (Catalyst/Warrington Strategic Program Fund) was not in the client’s best interest due to its risk and costs.

Broker Carlos Caban in UBS Financial Services INC. Firm Has Customer Complaint

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Caban (Caban), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Caban 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 $40,000.00 on April 14, 2020.

Time frame: 2007-2018\<char_lb_r>\, Claimant’s Counsel allege their investment in a Puerto Rico closed-end fund was unsuitable, over-concentrated, and misrepresented as a safe investment.