Securities Lawyers Blog

There are Recent Customer Complaints with Broker Steven Abraham in Firm Hornor, Townsend & Kent, LLC

June 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 07, 2023.

The complainant alleges that the registered representative surrendered her Fixed Annuity, with a Variable Annuity, on/or about November 21, 2022, without her permission, resulting in a surrender charge and loss of bonus money, and forged her signature on the Variable Annuity application to complete the transaction.

Broker Chelsea Deng in Morgan Stanley Firm Has Customer Complaint

June 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 05, 2023.

Clients allege financial advisor made certain misrepresentations and unsuitable investment recommendations.

There are Recent Customer Complaints with Broker John Anderson in Firm LPL Financial LLC

June 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Anderson (Anderson), currently associated with LPL Financial LLC, 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 with a damage request of $25,000.00 on December 06, 2023.

It is alleged that a $25,000 REIT investment was not appropriate for the customers. The alleged activity occurred between November 1, 2016 and December 31, 2016.

There are Recent Customer Complaints with Broker Alyce Weixler in Firm Morgan Stanley

June 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alyce Weixler (Weixler), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Weixler 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 $300,000.00 on December 07, 2023.

Client alleges, inter alia, misrepresentation with respect to the recommendation to sell certain securities in their accounts at the end of 2022

Broker Jeffrey Goldman in Chapin, Davis Firm Has Customer Complaint

June 23, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jeffrey Goldman (Goldman), currently employed by Chapin, Davis has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Goldman’s most recent customer complaint alleges that Goldman recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $77,696.75 on December 06, 2023.

The client alleges that two Structured Notes purchased (01/22/2022 and 02/15/2022) were unsuitable.

There are Recent Customer Complaints with Broker Franz Warren in Firm J.P. Morgan Securities LLC

June 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franz Warren (Warren), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Warren 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 $100,000.00 on December 07, 2023.

Claimant alleges violations with respect to the type of accounts opened, suitability of investment recommendations, and supervision of her accounts and financial advisor. Activity dates 12/3/21 – 11/6/23.

There are Recent Customer Complaints with Broker Peter Pace in Firm Cetera Advisor Networks LLC

June 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Pace (Pace), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pace 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 $25,000.00 on December 06, 2023.

Claimant alleges she was recommended unsuitable investments.

Broker John Orlando in Sw Financial Firm Has Customer Complaint

June 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 07, 2023.

John Anthony Orlando was named in a customer complaint that asserted the following causes of action: Conversion and Unjust Enrichment, Breach of Fiduciary Duty, and Fraud.

There are Recent Customer Complaints with Broker Barry Mills in Firm A.g.p. / Alliance Global Partners

June 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Mills (Mills), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Mills recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 07, 2023.

Client was upset about what she felt were unauthorized trades in her account. The client believed that her accounts was self directedbut had signed a trading authorization form when she opened her accounts on April 14, 2023. This document gave her rep the abilityto use discretion. After reviewing the situation the firm decided that based on the apparent confusion as to whether she would be contacted regarding the trading of any legacy positions the firm proposed a settlement to the client which was accepted.

There are Recent Customer Complaints with Broker Eric Forsman in Firm LPL Enterprise, LLC

June 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Forsman (Forsman), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Forsman 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 $11,056.00 on December 12, 2023.

Bankers Life and Casualty Company (BLC), an affiliated insurance company, received a written complaint from the State of Wisconsin Department of Market Regulation and Enforcement, and provided a copy to Bankers Life Securities, Inc. (BLS) on December 12, 2023. In the complaint the client alleged material inaccuracies on the policy documents they received; alleging they have not met with, or spoken to the agent listed on the Premium Bonus Index Annuity (PBIA) which they purchased in February of 2022. The client has requested to surrender the annuity without penalty, and be reimbursed for damages. These allegations were determined to be unsubstantiated by the Firm. However, based on the allegations raised and to resolve any possible misunderstanding that might have occurred, BLC will allow the client to surrender the PBIA without incurring the applicable early surrender penalty. While the BLC annuity is not a security, and was issued by BLC, the Firm is reporting this complaint because the source of funding for the annuity came from the sale of securities recommended by a financial representative of the Firm.