Securities Lawyers Blog

Broker Glennon Cole in Moloney Securities Co., INC. Firm Has Customer Complaint

April 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glennon Cole (Cole), previously associated with Moloney Securities Co., INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Cole 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 August 26, 2024.

Suitability/negligence. 2013-2018

Broker Valery Oswald in Raymond James & Associates, INC. Firm Has Customer Complaint

April 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Valery Oswald (Oswald), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Oswald 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 $1,883,594.00 on October 18, 2024.

A. Breach of Fiduciary Duty\, B. Negligence\, C. Actual Fraud\, D. Constructive Fraud \, E. Breach of Contract\, F. Violations of Oklahoma Uniform Securities Act of 2004\, G. Respondeat Superior

Broker Hugh Mcguire in Hornor, Townsend & Kent, LLC Firm Has Customer Complaint

April 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hugh Mcguire (Mcguire), previously associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcguire 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 $5,000.00 on August 27, 2024.

Claimants allege that HTK financial professional misled Claimant by recommending unsuitable investments and investment strategies in various illiquid alternative investments and thereafter recommending that Claimants hold those investments despite the availability of information concerning the poor prospects of these investments.

Broker Robert Starnes in Sa Stone Wealth Management INC. Firm Has Customer Complaint

April 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Starnes (Starnes), previously associated with Sa Stone Wealth Management INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Starnes 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 $3,000,000.00 on November 13, 2024.

Respondent is vicariously liable to Claimants for the losses each has suffered because of Mr. Robert Starnes’ alleged fraud and misconduct.

There are Recent Customer Complaints with Broker Robert Earls in Firm LPL Financial LLC

April 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Earls (Earls), previously associated with LPL Financial LLC, has at least 9 disclosable events. These events include 9 customer complaints, alleging that Earls 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 $17,000.00 on November 20, 2024.

July 2022 – Theft of two checks totaling $17,000.

Broker Richard Panno in Buckman & Reid, INC, Firm Has Customer Complaint

April 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Panno (Panno), currently associated with Buckman & Reid, INC., has at least one disclosable event. These events include one customer complaint, alleging that Panno 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 $2,250,000.00 on August 24, 2024.

Failure to supervise.

There are Recent Customer Complaints with Broker Thomas Williams in Firm Charles Schwab & Co., INC.

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Williams (Williams), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $235,000.00 on January 28, 2025.

The client alleges in December 2024 that the representative provided false and misleading information concerning an option position. The client relied upon this information to trade in an effort to minimize losses that the client erroneously believed existed.

There are Recent Customer Complaints with Broker Jeremiah Taylor in Firm Charles Schwab & Co., INC.

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremiah Taylor (Taylor), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $250,000.00 on January 30, 2025.

Starting in 2022, the client alleges he received incorrect information regarding Roth 401k funds for rollover into a Roth IRA, allegedly causing unplanned tax liabilities, changes in future income planning due to additional taxes owed, and lost tax savings.

Broker Mark Graham in Brokers International Financial Services, LLC. Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 03, 2025.

Customer of indirect affiliated insurance company (not customer of broker-dealer) claims that in the 2nd half of 2018 and into 2019, RR recommended and sold her an unsuitable fixed annuity to invest proceeds received after her mother passed away.

Broker Sidney Williams in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 24, 2025.

Client alleges failure to follow instructions in April 2024