Securities Lawyers Blog

There are Recent Customer Complaints with Broker Freddie Crandall in Firm Morgan Stanley

June 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Freddie Crandall (Crandall), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Crandall 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 $400,000.00 on March 01, 2024.

The claimant alleges unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Edward Mcelwreath in Firm Arbor Research & Trading, LLC

June 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Mcelwreath (Mcelwreath), currently associated with Arbor Research & Trading, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcelwreath 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 $200,000.00 on February 29, 2024.

CLAIMANT ALLEGES JAVELIN SECURITIES LLC MARKETED A PARTICULAR INVESTMENT ON THE BASIS OF INSUFFICIENT DUE DILIGENCE, MISREPRESENTATIONS, NEGLIGENCE AND BREACH OF DUTY. THE DATES INCLUDED APRIL 2022 THROUGH JANUARY 2024, WHEN JAVELIN SECURITIES LLC CEASED AS A BROKER DEALER.

Broker John Kendall in Principal Securities, INC. Firm Has Customer Complaint

June 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Kendall (Kendall), previously associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kendall 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 $5,001.00 on February 29, 2024.

The complainant alleges negligence, breach of fiduciary duty, conversion, forgery and fraud, beginning on/or about September 2003, relative to an IRA account, Variable and Fixed Annuities.

Broker Thomas Moran in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

June 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Moran (Moran), previously associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moran 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 $1,000,000.00 on March 01, 2024.

Claimant alleges that beginning sometime in 2018 her Financial Advisor acted contrary to her instructions which resulted in unnecessary tax implications and prevented her account from growing to its full potential.

Broker Kevin O’callahan in Fidelity Brokerage Services LLC Firm Has Customer Complaint

June 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 07, 2024.

The customer alleges she was misled when she purchased a variable annuity in November 2021. The Customer no longer wants the annuity.

There are Recent Customer Complaints with Broker Timothy O’brien in Firm Ausdal Financial Partners, INC.

June 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy O’brien (O’brien), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that O’brien 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 October 10, 2024.

Breach of fiduciary duty, negligence, breach of contract, negligent supervision, violation of applicable laws and industry rules; unsuitable recommendation

There are Recent Customer Complaints with Broker Anthony D’angelo in Firm Fmsbonds, INC.

June 19, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anthony D’angelo (D’angelo), currently employed by Fmsbonds, INC. 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), D’angelo’s most recent customer complaint alleges that D’angelo 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 $25,000.00 on September 24, 2024.

In the wake of the pandemic, customer alleges that he wanted to sell his bond position during their technical default/bankruptcy when there was still a market for them mid 2022 . Now 2024 there is no market and the bonds have not been restructured. Alleges broker did not follow instructions, provided poor information and customer service.

There are Recent Customer Complaints with Broker Kirk O’brien in Firm Osaic Wealth, INC.

June 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk O’brien (O’brien), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that O’brien 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 $45,000.00 on August 30, 2024.

Claimant alleges their representative recommended an unsuitable Oil and Gas program.

Broker Kevin O’sullivan in Commonwealth Financial Network Firm Has Customer Complaint

June 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin O’sullivan (O’sullivan), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that O’sullivan 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 September 19, 2024.

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

There are Recent Customer Complaints with Broker Mark D’ercole in Firm Portsmouth Financial Services

June 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark D’ercole (D’ercole), previously associated with Portsmouth Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that D’ercole 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 $590,000.00 on July 08, 2024.

The firm, Portsmouth Financial Services, was named as the respondent. Statement of claim cites that respondent failed to conduct reasonable due diligence, misrepresentation of facts, false statements and failure to supervise. Claims against rep include unsuitable investment recommendation.