Securities Lawyers Blog

There are Recent Customer Complaints with Broker John Berg in Firm Morgan Stanley

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Berg (Berg), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Berg 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 $300,000.00 on April 07, 2020.

Attorney alleged, inter alia, excessive trading with respect to investments in account – January 2018 thru December 2019.

Broker James Wagner 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 James Wagner (Wagner), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wagner 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 $10,000.00 on April 14, 2020.

Client alleges that advisor’s actions caused a delay in settling his deceased father’s acounts. Client alleges that the delay caused him to lose $10,000.00 due to a decrease in account values and the cost incurred in hiring an attorney. Alleged activity dates 2/13/2020 to 4/14/2020.

Broker Nick Son in A.g.p. / Alliance Global Partners Firm Has Customer Complaint

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nick Son (Son), currently associated with A.g.p. / Alliance Global Partners, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Son 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 $642,224.00 on April 08, 2020.

Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.

There are Recent Customer Complaints with Broker Phillip Farmer in Firm Vanguard Marketing Corporation

July 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Farmer (Farmer), currently associated with Vanguard Marketing Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Farmer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 15, 2020.

Client alleges her advisor sold equities she specifically requested him to hold. This activity occurred between March 18, 2020 through May 6, 2020.

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

July 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 17, 2020.

Client alleges mutual fund trades placed in January 2019 were unauthorized.

There are Recent Customer Complaints with Broker Linda Olson in Firm Wells Fargo Advisors Financial Network, LLC

July 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Linda Olson (Olson), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Olson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 18, 2020.

An authorized party on the client’s account alleges the financial advisor failed to follow instructions to change the asset allocation in the client’s variable annuity.

Broker Teresa Partain in MML Investors Services, LLC Firm Has Customer Complaint

July 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Teresa Partain (Partain), previously associated with MML Investors Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Partain 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 $414,869.00 on April 20, 2020.

Client alleges breach of fiduciary duty, negligence respondeat superior liability – noble and violation of ga uniform securities act 2008, for moving her investment in late 2018 and the calendar year of 2019 + loss of principal in the investment during that year.

There are Recent Customer Complaints with Broker Brian Booth in Firm Stifel, Nicolaus & Company, Incorporated

July 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Booth (Booth), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Booth 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 $9,006.05 on April 16, 2020.

Client’s authorized agent alleges a trade was made without contacting the client or client’s authorized agent. Timeframe 3/24/20 – 3/24/20

Broker Nathaniel Miller in Edward Jones Firm Has Customer Complaint

July 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathaniel Miller (Miller), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miller 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 April 17, 2020.

Claimant alleges that on or about March 19, 2020, he provided an instruction to sell only bond funds in two retirement accounts. He alleges that on March 24, the registered representative incorrectly sold all funds, including equities.

Broker Anthony Vultaggio Jr. in American Capital Partners, LLC Firm Has Customer Complaint

July 3, 2026 | by Staff Attorney

Previously financial advisor Anthony Vultaggio Jr. (Vultaggio Jr.), previously employed by brokerage firm American Capital Partners, LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 $1,800,000.00 on April 20, 2020.

Claimant invested in a private placement that was neither related nor connected to the Firm.