Securities Lawyers Blog

There are Recent Customer Complaints with Broker Robert Kromer in Firm Securities America, INC.

June 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 14, 2026.

Plaintiff alleged claim against RK Retirement Solutions, LLC & Robert Kromer of the following: Negligence, Fraud, Misrepresentation, and Negligent Misrepresentation for specific assets that the plaintiff alleges he was unaware of the risk, illiquid portion of investments and bankruptcy of one of the companies from investments made in 2017, Alleges that RK Retirement Solutions & Robert Kromer tried to misrepresent specific assets to him.

There are Recent Customer Complaints with Broker Daniel Lerner in Firm David Lerner Associates, INC.

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Lerner (Lerner), currently associated with David Lerner Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lerner 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 $380,000.00 on April 14, 2026.

Unsuitability

There are Recent Customer Complaints with Broker Timothy Tremblay in Firm Centaurus Financial, INC.

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Tremblay (Tremblay), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tremblay 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 $105,000.00 on April 17, 2026.

The customer alleges that in August of 2020, the Registered Representative recommended an unsuitable, high-risk, and illiquid investment.

There are Recent Customer Complaints with Broker Denis Drummey in Firm Ameriprise Financial Services, INC.

May 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 19, 2020.

Customer complains about illiquidity of business development company, alleges that representative’s recommendation of business development company was unsuitable, and that his net worth was incorrectly stated on the account paperwork. Alleged activity dates are 7/24/14 – 7/24/14

Broker Lisa Jackson in Cetera Wealth Services, LLC Firm Has Customer Complaint

May 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Jackson (Jackson), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 $145,000.00 on August 18, 2020.

Client alleged the products into which he invested in 2014 were misrepresented and unsuitable.

There are Recent Customer Complaints with Broker Edward Simpson in Firm Innovation Partners LLC

May 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Simpson (Simpson), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simpson 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 August 19, 2020.

Unsuitable Recommendations

Broker Blair Horne in Morgan Stanley Firm Has Customer Complaint

May 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blair Horne (Horne), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Horne 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 $317,788.98 on August 19, 2020.

Plaintiff alleges, inter alia, failure to follow instructions with respect to liquidation of Stock Option – Feb 06, 2020 to Feb 07, 2020

Broker Joseph Mcleod in Intervest International Equities Corporation Firm Has Customer Complaint

May 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Mcleod (Mcleod), previously associated with Intervest International Equities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcleod 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 $30,000.00 on August 26, 2020.

Client alleged negligence, professional negligence, violations of law, unsuitable recommendations, negligent supervision, breach of contract, breach of fiduciary duty, and breach of securities industry law and rules related to two (2) non-traded real estate investment trusts purchased by client on or about June 2016

Broker Cory Durham in UBS Financial Services INC. Firm Has Customer Complaint

May 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cory Durham (Durham), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Durham 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 $100,000.00 on August 25, 2020.

Durham was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of contract and warranties; promissory estoppel; violation of the Texas Deceptive Trade Practices – Consumer Protection Act; violation of the Texas Securities Act; statutory fraud; breach of fiduciary duty; negligence and gross negligence; misrepresentation/omission and negligent misrepresentation/omission; unjust enrichment; failure to supervise; common law and statutory claims; and vicarious and control person liability.

Broker Graham Okelly in RBC Capital Markets, LLC Firm Has Customer Complaint

May 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 22, 2020.

Claimant contends that his financial advisor engaged in unauthorized trading in his discretionary account when he liquidated the account.