Securities Lawyers Blog

Broker Javier Reyes Colon in Arkadios Capital Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Javier Reyes Colon (Reyes Colon), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Reyes Colon 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 $15,000,000.00 on January 08, 2024.

Client since 2009 alleges unsuitable Insurance Product

Broker Leslie Lauer in RBC Capital Markets, LLC Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 05, 2024.

Time frame: February 2018 – June 2020 Allegations: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker William Collins in Firm Cetera Advisor Networks LLC

June 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2024.

Client verbally alleged unauthorized and excessive trading. – January 2020 – August 2023

There are Recent Customer Complaints with Broker Jason Seurer in Firm Landolt Securities, INC.

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Seurer (Seurer), currently associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Seurer 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 $84,000.00 on January 05, 2024.

Almost 2 years following GWG Holdings Inc. filing for Chapter 11 bankruptcy protection, the customer is now alleging that her L bond purchases from November 2019 were unsuitable

There are Recent Customer Complaints with Broker Scott Timko in Firm UBS Financial Services INC.

June 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 08, 2024.

Time Frame: October 16th 2023 to October 23rd 2023\, What were the allegations against the individual? Client verbally alleged the instruction to tender his shares in his stock option account were not followed or actioned.

Broker Amir Navab in RBC Capital Markets, LLC Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amir Navab (Navab), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Navab 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 $180,000.00 on January 09, 2024.

Various claims and damages pursuant to portfolio and investment accounts

Broker Timothy Connor in LPL Financial LLC Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2024.

Customer alleges representative made unsuitable investment recommendations

There are Recent Customer Complaints with Broker Jonna Keller in Firm Osaic Wealth, INC.

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonna Keller (Keller), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Keller 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 $300,000.00 on January 08, 2024.

As per Signma’s filing, arbitration Statement of Claim alleged misrepresentation and negligence in connection with the investments purchased in 2014. Claimant further alleges the BD supervision of the claimant’s account was inadequate.

Broker William Schumann in Cetera Financial Specialists LLC Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Schumann (Schumann), currently associated with Cetera Financial Specialists LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schumann 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 $300,000.00 on January 05, 2024.

The Statement of Claim was filed on behalf of nine claimants against Grove Point Investments, LLC involving the same investment – NorthStar Healthcare Income REIT. Claimants allege unsuitability, overconcentration, breach of fiduciary duty and negligence. Activity occurred March 24, 2014 to February 12, 2016.

Broker Michael Frager in Willow Cove Investment Group, INC. Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Frager (Frager), currently associated with Willow Cove Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frager 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 $125,000.00 on January 08, 2024.

Alleged unsuitable investment recommendation in November 2018