Securities Lawyers Blog

Broker Christopher Lee in Voya Financial Advisors, INC. Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Lee (Lee), previously associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $100,000.00 on July 18, 2022.

Claimants allege that in 2016, high-commission, high-risk, and speculative alternative investments were misrepresented and sold for the sole goal of generating commissions.

Broker Cynthia Keverian in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Keverian (Keverian), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Keverian recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 14, 2022.

The customer alleges misrepresentation in July of 2022.

Broker Michael Kane in LPL Financial LLC Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kane (Kane), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kane 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 $164,964.84 on July 15, 2022.

Unsuitable recommendations, misrepresentation and omission.

There are Recent Customer Complaints with Broker Edward Engler in Firm Fifth Third Securities, INC.

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Engler (Engler), currently associated with Fifth Third Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Engler 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 $16,609.38 on July 13, 2022.

Client alleged misrepresentation of product

There are Recent Customer Complaints with Broker Aileen Schruth in Firm UBS Financial Services INC.

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aileen Schruth (Schruth), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Schruth 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 $301,883.80 on July 13, 2022.

Time Frame: May 21, 2021 to July 1, 2022\, \, What were the allegations against the individual? \, \, The POA alleges he did not provide instructions to execute a trade.

Broker Seth Waltman in M. S. Howells & CO. Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Waltman (Waltman), currently associated with M. S. Howells & CO., has at least one disclosable event. These events include one customer complaint, alleging that Waltman 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 $318,167.80 on July 14, 2022.

[REDACTED] ALLEGES THAT HE DID NOT AUTHORIZE SETH WALTMAN, REGISTERED REPRESENTATIVE, TO REALLOCATE HIS VARIABLE ANNUITY SUB-ACCOUNTS IN MARCH 2020

Broker Bikram Mehta in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bikram Mehta (Mehta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mehta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 12, 2022.

The customer alleges the unauthorized purchase of stocks and failure to follow instructions in January/February 2022.

There are Recent Customer Complaints with Broker Nathan Cedarleaf in Firm Cetera Investment Services LLC

November 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $4,000,000.00 on July 13, 2022.

Cedarleaf was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of contract; negligent and reckless misrepresentation; breach of fiduciary duty or alternatively, aiding and abetting a breach of fiduciary duties; violation of Section 10(b)(5) of the Securities Act of 1934; and South Carolina Securities Act violations.

There are Recent Customer Complaints with Broker Bradley Kitchener in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Kitchener (Kitchener), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kitchener recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 15, 2022.

The customer alleges failure to follow instructions from February of 2022 until July of 2022.

Broker Keith Weik in Edward Jones Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 15, 2022.

The client alleges the financial advisor failed to follow instructions to liquidate accounts.