Securities Lawyers Blog

There are Recent Customer Complaints with Broker Richard Miller in Firm Ameriprise Financial Services, LLC

June 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Miller (Miller), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $10,953.74 on February 04, 2024.

The client alleged that the advisor sold all positions from his Ameriprise One account without his authorization.

There are Recent Customer Complaints with Broker James Paige in Firm Wells Fargo Clearing Services, LLC

June 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2024.

Claimants alleges in or around the year 2021, their Financial Advisor (FA) made financial recommendations that were unsuitable and too risky for Claimants’ investment knowledge and needs.

Broker Adonna Allgood Kamens in Morgan Stanley Firm Has Customer Complaint

June 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adonna Allgood Kamens (Allgood Kamens), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Allgood Kamens 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 $40,000.00 on February 02, 2024.

Executrix of estate alleges, inter alia, failure to supervise with respect to the margin balance maintained in the deceased client’s account after he passed away and the estate was being settled 2016-2023 .

Broker Jeffrey Peterson in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

June 5, 2025 | by Staff Attorney

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

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

Customer alleges that the investment selections in a managed investment advisory account that was recommended in or around October 2021, are unsuitable. The customer is unhappy with the performance of the account, the proceeds of which, were intended to fund a life insurance plan.

There are Recent Customer Complaints with Broker Forrest James in Firm Emerson Equity LLC

June 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Forrest James (James), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that James 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 $444,000.00 on January 31, 2024.

Misrepresentation and unsuitable investments on written complaint\, Arbitration alleges the following: breach of fiduciary duty, violation of FINRA/NYSE/SEC rules and regulations, breach of contract, negligence, negligent supervision, violation of the securities acts and regulations, elder abuse, unjust enrichment.

There are Recent Customer Complaints with Broker Eugene Long in Firm Cadaret, Grant & Co., INC.

June 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Long (Long), previously associated with Cadaret, Grant & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Long 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 $3,037,257.60 on January 31, 2024.

Claimant alleges that between March 2010 and March 2016, the customer’s investment portfolio was not diversified and allocated appropriately for someone of her age and [REDACTED] condition in violation of FINRA suitability rule and fiduciary duties owed to customer and that broker permitted an authorized agent of customer to transfer her assets to her bank and another broker dealer without providing proper disclosure to her.

Broker Lacey Neuman in Nylife Securities LLC Firm Has Customer Complaint

June 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 06, 2024.

The Customer alleges the recommendation to replace his surrender charge-free variable annuity with two (2) fixed annuities in May 2023 resulted in a new surrender charge schedule and new fees. The customer has requested the rescission of the fixed annuities and the restoration of the variable annuity.

Broker Lisa Kitchin in Rockefeller Financial LLC Firm Has Customer Complaint

June 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Kitchin (Kitchin), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kitchin 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 $200,000.00 on February 07, 2024.

Customer alleges unsuitable recommendation regarding managed account account activity dates 03.14.23 to 05.01.2023

There are Recent Customer Complaints with Broker Alexis Crespo Perez in Firm Oriental Financial Services LLC

June 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexis Crespo Perez (Crespo Perez), currently associated with Oriental Financial Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crespo Perez 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 $95,000.00 on February 07, 2024.

Claimants are senior investors who claim lost lifetime savings because of unsuitable recommendations to purchase and HOLD investments,\, overconcentration and misrepresentations made by RESPONDENT to Claimants.

Broker Samuel Haddix in Ameriprise Financial Services, INC. Firm Has Customer Complaint

June 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Plaintiff alleges he engaged a former Ameriprise advisor to assist him in growing his small business. He alleges the defendant advisor fraudulently opened two bank accounts without authority. He further alleges the defendant advisor drafted a ‘Purchase Business Agreement’ and solicited investors to invest in plaintiff’s small business for purposes of paying off tax debt. In addition, plaintiff alleges defendant advisor harassed and threatened him to relinquish rights and control in his business.