Securities Lawyers Blog

There are Recent Customer Complaints with Broker Nicholas Travascio in Firm LPL Financial LLC

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Travascio (Travascio), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Travascio 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.

Customers alleges that investments made in 2014 were unsuitable for the customers’ investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Douglas English in Firm LPL Financial LLC

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas English (English), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that English 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 March 22, 2024.

Customers allege that between September 2021 and March 2023 advisor made unsuitable recommendations into equity listed securities and other causes of actions related to these trades.

Broker Mikyung Oh in LPL Financial LLC Firm Has Customer Complaint

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mikyung Oh (Oh), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Oh 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 2013-2014 was unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker William Czaplewski in Firm LPL Financial LLC

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Czaplewski (Czaplewski), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Czaplewski 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 2015 was unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker James Allen in Firm Oppenheimer & CO. INC.

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Allen (Allen), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Allen 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 $250,000.00 on March 22, 2024.

Unsuitable transactions.

There are Recent Customer Complaints with Broker Shawn Good in Firm Morgan Stanley

May 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 22, 2024.

Claimant alleges, inter alia, FA solicited an outside real estate investment opportunity that was not authorized by the Firm. Claimant also alleges that investment in an equity recommendation by the FA was unsuitable from January 2017 through February 2022.

Broker Howard Kaplan in LPL Financial LLC Firm Has Customer Complaint

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Kaplan (Kaplan), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan 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 Rodney Dabbondanza in Firm Coastal Equities, INC.

May 25, 2025 | by Staff Attorney

Previously financial advisor Rodney Dabbondanza (Dabbondanza), previously employed by brokerage firm Coastal Equities, INC. 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 $50,000.00 on March 20, 2024.

Client alleges that Financial Professional misrepresented the risks associated with REITS and BDCs and that the investments were unsuitable. Activity occurred September 2011 to November 2014.

Broker Bradley Bergdahl in Cetera Advisor Networks LLC Firm Has Customer Complaint

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Bergdahl (Bergdahl), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bergdahl 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 Glenn Frum in Firm LPL Financial LLC

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Frum (Frum), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frum 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.