Securities Lawyers Blog

Broker Rebecca Fitschen in UBS Financial Services INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 22, 2022.

Time Frame: January 3rd, 2022 to July 22nd, 2022\, \, What were the allegations against the individual? The client alleges he was assured multiple times that his total fees for his managed assets would never exceed 60 basis points. The alleges damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Freddy Garcia in Firm the Leaders Group, INC.

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Freddy Garcia (Garcia), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $146,453.23 on July 25, 2022.

Client claims Freddy Garcia did not follow instructions and is asking for $146,453.23 in compensation.”

Broker Kevin Johnson in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Johnson (Johnson), previously associated with Cambridge Investment Research, INC., 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 on July 19, 2022.

Claimants allege unsuitable recommendations, misrepresentation, breach of fiduciary duty, negligence, and failure to supervise.

There are Recent Customer Complaints with Broker Arthur Littlefield in Firm LPL Financial LLC

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Littlefield (Littlefield), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Littlefield 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 July 27, 2022.

Claimant alleges their representative recommended an unsuitable investment in an oil and gas program.

There are Recent Customer Complaints with Broker Philip Board in Firm Centaurus Financial, INC.

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Board (Board), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Board 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 $60,000.00 on July 22, 2022.

During the period 2020 through the filing of this arbitration, the customers allege that the Registered Representative misrepresented an unsuitable high-risk, illiquid investment and breached his fiduciary duty.

Broker Tony Hodge in the Leaders Group, INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 26, 2022.

Breach of fiduciary duty, negligence, misrepresentation. Dates are from 2014-2015

There are Recent Customer Complaints with Broker Stephen Gooditis in Firm Royal Alliance Associates, INC.

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Gooditis (Gooditis), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gooditis 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 $75,618.48 on July 20, 2022.

Customers alleged that a variable annuity they purchased in March 2022 was not appropriate for them

There are Recent Customer Complaints with Broker John Tweardy in Firm H. Beck, INC.

November 11, 2025 | by Staff Attorney

Previously financial advisor John Tweardy (Tweardy), previously employed by brokerage firm H. Beck, INC. 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 $39,000.00 on July 25, 2022.

Client alleges that Financial Professional misrepresented the risks associated with BDCs and that the investments were unsuitable. Dates of activity: 6/1/12 to 8/16/13.

Broker Ronald Hamilton in Osaic Institutions, INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Hamilton (Hamilton), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 $35,000.00 on July 26, 2022.

Clients allege representative communicated that the annuity calendar year and the annuity benefit year were interchangeable.

There are Recent Customer Complaints with Broker Michael Mattes in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mattes (Mattes), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mattes 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 $556,566.58 on July 27, 2022.

The customer alleges that a line of credit was unsuitable for his investment objectives. He also alleges failure to disclose material facts and unauthorized transfers from April of 2016 until April of 2019.