Securities Lawyers Blog

There are Recent Customer Complaints with Broker Brian Adams in Firm Fifth Third Securities, INC.

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Adams (Adams), currently associated with Fifth Third Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Adams 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 $18,935.40 on January 12, 2024.

Client alleged Registered Representative’s liquidation of securities was inconsistent with her direction.

There are Recent Customer Complaints with Broker Zachary Taylor in Firm Saxony Securities, INC.

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Taylor (Taylor), previously associated with Saxony Securities, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Taylor 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 $426,000.00 on January 17, 2024.

Claimant asserts claims for breach of fiduciary duty, negligence, negligent supervision, breach of contract. Breach of covenant of good faith and fair dealing, misrepresentation, unauthorized trading, as well as violations of FINRA rules and state securities and elder abuse law. 08/2020 – 05/2023.

There are Recent Customer Complaints with Broker Nancy Martinez in Firm Cuso Financial Services, L.p.

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Martinez (Martinez), currently associated with Cuso Financial Services, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Martinez 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 $50,000.00 on January 11, 2024.

Misrepresentation

Broker Michael Lindemann in LPL Financial LLC Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lindemann (Lindemann), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lindemann 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 $5,000.00 on January 17, 2024.

Failure to follow instructions / March 22, 2023 – December 26, 2023.

There are Recent Customer Complaints with Broker Jana Thielges in Firm Edward Jones

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jana Thielges (Thielges), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Thielges 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 $6,355.08 on January 12, 2024.

Client alleges the Financial Advisor did not exercise his stock election to trade shares of VMW for share of AVGO. Client alleges they should have received fifteen (15) shares stock plus an additional $8,522.88. Instead, the client alleges that all that was received was $16,815.00 and no stock, resulting in an estimated loss of $6,355.08.

Broker John Matteoni in Osaic Wealth, INC. Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Matteoni (Matteoni), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Matteoni 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 January 11, 2024.

The Claimants allege that the financial professional sold them alternative investments that were unsuitable.

There are Recent Customer Complaints with Broker Scott Hume in Firm Moloney Securities Co., INC.

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Hume (Hume), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Hume 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 $135,000.00 on January 11, 2024.

Suitability/negligence. 2020

Broker Gregory Anderson in Kestra Investment Services, LLC Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 16, 2024.

Claimant alleges REIT purchased was unsuitable.

Broker Peter Rhee in Cetera Advisors LLC Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Rhee (Rhee), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rhee 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 $100,000.01 on January 16, 2024.

Claimant generally alleges suitability, failure to supervise, and negligence.

There are Recent Customer Complaints with Broker Richard Hand in Firm Commonwealth Financial Network

June 8, 2025 | by Staff Attorney

Previously financial advisor Richard Hand (Hand), previously employed by brokerage firm Commonwealth Financial Network 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 settled customer complaint with a damage request of $35,000.00 on January 12, 2024.

Customer alleges representative recommended unsuitable investments in REITs during the time period 2014-2016