Securities Lawyers Blog

Broker Nikki Marshall in Neuberger Berman Bd LLC Firm Has Customer Complaint

June 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 11, 2023.

Claimants have been investment advisory clients of Respondent for more than fifteen years. They allege that they incurred damages as a result of Respondents’ provision of erroneous supplemental monthly performance reports from December 2022 through October 2023. Respondents consider the claims to be entirely without merit and intend to vigorously defend themselves.

There are Recent Customer Complaints with Broker Barbara Borowsky in Firm Dempsey Lord Smith, LLC

June 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbara Borowsky (Borowsky), currently associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Borowsky 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 $100,001.00 on December 10, 2023.

FAILED TO CONDUCT REASONABLE DUE DILIGENCE \, UNSUITABLE RECOMMENDATION OF HIGH-RISK INVESTMENT

Broker Cheryl Knight in the Strategic Financial Alliance, INC. Firm Has Customer Complaint

June 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cheryl Knight (Knight), currently associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that Knight 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 $500,000.00 on December 12, 2023.

Claimant alleges the firm failed to supervise the registered representative’s recommendations and activities, failing to prevent representative from recommending investments claimant believes were not in her best interest. Claimant further alleges representative did not make her aware of the risks, features, and costs associated with the investments.

Broker Stacy Goldsmith in Herbert J. Sims & Co, INC. Firm Has Customer Complaint

June 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stacy Goldsmith (Goldsmith), previously associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldsmith 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 $150,000.00 on December 12, 2023.

Statement of claims alleges that investments were not in the best interest of the customer.

Broker Edward Hindman in Intervest International Equities Corporation Firm Has Customer Complaint

June 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Hindman (Hindman), previously associated with Intervest International Equities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hindman 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 $250,000.00 on December 08, 2023.

Claimant alleges Breach of Fiduciary duty and negligence, Failure to supervise, Material omissions, Breaches of contract and inadequate due diligence.

Broker Maneesh Gupta in PFS Investments INC. Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maneesh Gupta (Gupta), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Gupta 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 $17,869.55 on February 26, 2024.

Customer alleged I misrepresented the features of his fixed annuity contracts.

There are Recent Customer Complaints with Broker Harrison Bauman in Firm Raymond James & Associates, INC.

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harrison Bauman (Bauman), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bauman 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 $220,000.00 on January 19, 2024.

Claimant alleges FAs failed to follow her instructions to re-invest dividends from specified securities.

There are Recent Customer Complaints with Broker Jose Lopera Guevara in Firm Truist Investment Services, INC.

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Lopera Guevara (Lopera Guevara), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopera Guevara 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 $500,000.00 on January 22, 2024.

Client alleges representatives made unsuitable recommendations.

Broker Matthew Gillette in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Gillette (Gillette), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gillette 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 $20,437.97 on February 26, 2024.

Customer alleging instructions to keep policy in force were not followed and policy was unintentionally surrendered.

Broker Adam Mahd in MML Investors Services, LLC Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Mahd (Mahd), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mahd 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 $200,000.01 on February 26, 2024.

The complainant alleges that since approximately 2021, his registered representative invested in volatile foreign companies, and risky bank and high-risk stocks, that were not suitable or in his best interest, that resulted in him losing over $200,000.