Securities Lawyers Blog

Broker Michael Wagner in Joseph Gunnar & CO. LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wagner (Wagner), currently associated with Joseph Gunnar & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wagner 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 $166,000.00 on June 02, 2021.

Approximately six years after the fact, customers allege an investment was unsuitable.

Broker Alan Stricker in Newedge Securities, LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Stricker (Stricker), currently associated with Newedge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stricker 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 $23,995.00 on June 02, 2021.

A customer complaint alleging that a covered call option strategy was not closed out at the right time. Alleged activity took place between July, 2020 and May, 2021.

Broker Samuel Clark in Osaic Wealth, INC. Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Clark (Clark), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $1,000,000.00 on June 10, 2021.

Claimant alleges the representative recommended an investment that was unsuitable.

There are Recent Customer Complaints with Broker Charles Beard in Firm Wells Fargo Clearing Services, LLC

February 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 03, 2021.

Client, who inherited an annuity, complained that the financial advisor did not advise him of the deadline for processing the transfer of annuity ownership resulting in losses due to the shorter withdrawal timeframe. (6/15/2019-1/28/2021)

Broker Edward Obrien in Nylife Securities LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Obrien (Obrien), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Obrien 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 $9,500.00 on June 09, 2021.

Customer alleges the Registered Representative did not inform him of the front-end sales charge associated with the A share mutual fund he purchased on or around January 5, 2021.

Broker Ron Purvines in LPL Financial LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 03, 2021.

Claimants allege that their registered representative recommended unsuitable investments.

Broker Jeffrey Diamond in J.P. Morgan Securities LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Diamond (Diamond), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Diamond 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 $185,549.38 on June 02, 2021.

Claimant, as representative, alleges unsuitable mutual fund recommendations. Activity Dates: 1/12/2018 – 2/8/2018.

There are Recent Customer Complaints with Broker Les Barber in Firm Osaic Wealth, INC.

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Les Barber (Barber), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barber 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 $1,000,000.00 on June 10, 2021.

Claimant alleges the representative recommended an investment that was unsuitable.

Broker Laurence Iannarelli in LPL Financial LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Laurence Iannarelli (Iannarelli), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Iannarelli 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 June 11, 2021.

Claimant alleges the representative recommended alternative investments that were unsuitable.

Broker Mark Gardner in Nylife Securities LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2021.

Customer alleges that from February 2010 though March 2018, the recommendation to purchase 4 variable annuities was not an appropriate investment strategy. Customer is seeking the waiver of all charges and fees associated with the surrender of the annuities.