Securities Lawyers Blog

There are Recent Customer Complaints with Broker Ryan Sherer in Firm Emerson Equity LLC

April 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 12, 2024.

Unsuitable recommendations, violation of common law fraud, breach of fiduciary duty, negligence

Broker Andrew Hauber in Dfpg Investments, LLC Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hauber (Hauber), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hauber 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 $97,533.21 on June 11, 2024.

Client alleges the annuity was not suitable and that Mr. Hauber misrepresented the features of the annuity

Broker Christina Silvius in Moloney Securities Co., INC. Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christina Silvius (Silvius), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Silvius 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 June 10, 2024.

Suitability/negligence. 2019

Broker Aishka Lugo in UBS Financial Services INC. Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 10, 2024.

Time frame: Unspecified\, \, Allegations: Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Charles Munoz in Centaurus Financial, INC. Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Munoz (Munoz), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Munoz 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 $21,000.00 on June 11, 2024.

The customer alleges that in May of 2020, the Registered Representative recommended an unsuitable, high-risk, illiquid investment and breached his fiduciary duty.

Broker Scott Broadbent in Raymond James Financial Services, INC. Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

Previously financial advisor Scott Broadbent (Broadbent), previously employed by brokerage firm Raymond James Financial Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. 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 pending customer complaint on June 12, 2024.

Clients allege that a recommendation of a non-traded REIT was unsuitable for them.

Broker Shannon Moore in LPL Financial LLC Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Moore (Moore), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 $200,000.00 on June 12, 2024.

Customer alleges that an investment made in 2016 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Cary Urich in Vanderbilt Securities, LLC Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cary Urich (Urich), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Urich 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 $710,000.00 on June 11, 2024.

Unsuitability, breach of fiduciary duty, negligence and deception.

There are Recent Customer Complaints with Broker Anthony Pace in Firm M Holdings Securities, INC.

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Pace (Pace), currently associated with M Holdings Securities, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, 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 $83,799.00 on June 12, 2024.

The client was advised they did not have to take RMDs in 2016-2022 because they were employed. Advisor missed that the client was a 5% owner and, therefore did have to take distributions.

Broker Diana Jimenez Nettleship in UBS Financial Services Incorporated of Puerto Rico Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 12, 2024.

Time frame: Unspecified.\, Allegations: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds and bonds was unsuitable and that their UBS accounts were over-concentrated in these investments. They also allege that the risks of investing in and concentrating in PR investments were misrepresented.