Securities Lawyers Blog

There are Recent Customer Complaints with Broker Matthew Thompson in Firm Fifth Third Securities, INC.

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Thompson (Thompson), currently associated with Fifth Third Securities, INC., 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 settled customer complaint with a damage request of $44,000.00 on February 22, 2023.

Customer alleged August 18, 2021 sale of GNMA bond was unsuitable.

Broker Justin Mackie in Dai Securities, LLC Firm Has Customer Complaint

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Mackie (Mackie), currently associated with Dai Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mackie 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 $257,500.00 on February 22, 2023.

Customers allege unsuitable investment recommendations in May 2017, September 2019 and January 2021.

There are Recent Customer Complaints with Broker Mark Albright in Firm Raymond James Financial Services, INC.

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Albright (Albright), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Albright 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 February 23, 2023.

Claimants allege from 2015 to present, respondent provided unsuitable investment recommendations and failed to provide full accounting for the Trusts.

There are Recent Customer Complaints with Broker Felipe Arrieta in Firm Vestech Securities, INC.

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Felipe Arrieta (Arrieta), currently associated with Vestech Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Arrieta 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 February 22, 2023.

Misrepresentation, negligence, unsuitability, breach of fiduciary duty

Broker Michael Gray in PFS Investments INC. Firm Has Customer Complaint

September 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 22, 2023.

Customer alleges that i recommended unsuitable investments for their investment objective.

There are Recent Customer Complaints with Broker Chuling Hsiao in Firm Nylife Securities LLC

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuling Hsiao (Hsiao), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hsiao 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 $56,496.27 on February 22, 2023.

The policyowner alleges that he unknowingly entered into two variable annuity contracts in December 2021 with an eight year surrender charge period with funds from his matured fixed annuity policy. The customer wants to cancel both of the variable annuity policies free of surrender fees.

Broker Douglas Scalard in Ameriprise Financial Services, LLC Firm Has Customer Complaint

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Scalard (Scalard), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Scalard 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 February 23, 2023.

Claimants allege from 2015 to the present, respondent provided unsuitable investment recommendations and failed to provide full accounting for the Trusts.

There are Recent Customer Complaints with Broker Adam Anderson in Firm Securities America, INC.

September 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 22, 2023.

Opened accounts in March 2021 using Treasury notes & options. In January 2022, client expressed concerns about losses and long-term term treasures and concerns with advisory fees.

There are Recent Customer Complaints with Broker Robert Rose in Firm Janney Montgomery Scott LLC

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rose (Rose), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rose 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 $78,000.00 on February 22, 2023.

Letter from customer’s attorney alleging that advisor failed to follow customer instructions pertaining to asset allocation and made unauthorized trades. Client was in a managed account.

There are Recent Customer Complaints with Broker Anna Marie Stotka in Firm Osaic Wealth, INC.

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anna Marie Stotka (Stotka), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stotka 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 February 23, 2023.

Claimant alleges the representative recommended an unsuitable Oil & Gas investment.