Securities Lawyers Blog

Broker Gerald Mcginley in UBS Financial Services INC. Firm Has Customer Complaint

May 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 15, 2024.

Time frame: January 2018 – Present\, \, Allegations: Claimant alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Edward Redler in Firm Citigroup Global Markets INC.

May 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Redler (Redler), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Redler 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 $5,000,000.00 on March 15, 2024.

Client alleges high risk and unsuitable recommendations.

There are Recent Customer Complaints with Broker Jason Smith in Firm Osaic Wealth, INC.

May 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Smith (Smith), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $75,000.00 on March 18, 2024.

Claimant alleges unsuitable recommendation and sale of alternative investment.

Broker Stephen Skokos in LPL Financial LLC Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Bernell Baker in Firm LPL Financial LLC

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Eric Wishan in Cetera Advisor Networks LLC Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

Customer alleges that an investment made in 2013 was unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Melanie Gilmore in Firm Wells Fargo Clearing Services, LLC

May 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melanie Gilmore (Gilmore), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gilmore 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 $500,000.00 on March 19, 2024.

Claimant alleges that in 2021, the Financial Advisor made unsuitable securities recommendations for her investment experience and risk tolerance.

Broker Dustin Jackson in LPL Financial LLC Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Jackson (Jackson), previously associated with LPL Financial 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 pending customer complaint on March 19, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Jae Kim in E1 Asset Management, INC. Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jae Kim (Kim), previously associated with E1 Asset Management, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kim recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 19, 2024.

Without admitting or denying the findings, Kim consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with its investigation concerning the circumstances giving rise to a customer arbitration.

There are Recent Customer Complaints with Broker Karry Maciak in Firm LPL Financial LLC

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.