Securities Lawyers Blog

Broker Andrew Quinn in LPL Financial LLC Firm Has Customer Complaint

May 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Quinn (Quinn), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Quinn 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 27, 2020.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts.

There are Recent Customer Complaints with Broker Christopher Sinkula in Firm Janney Montgomery Scott LLC

May 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Sinkula (Sinkula), previously associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sinkula 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 August 24, 2020.

Unsuitable allocation of high yield securities from 2013 through 2020.

Broker Mark Brody in Planned Financial Programs, INC. Firm Has Customer Complaint

May 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Brody (Brody), currently associated with Planned Financial Programs, INC., has at least one disclosable event. These events include one customer complaint, alleging that Brody 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 $340,000.00 on August 20, 2020.

08/2015-12/2015\<char_lb_r>\, Failure to provide suitable investments, misrepresentation

There are Recent Customer Complaints with Broker Samuel Ross in Firm the O.n. Equity Sales Company

May 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Ross (Ross), currently associated with the O.n. Equity Sales Company, has at least one disclosable event. These events include one customer complaint, alleging that Ross 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 $250,000.00 on September 18, 2020.

Customer alleges representative failed to properly complete death claim form resulting in forfeit of lifetime income option

There are Recent Customer Complaints with Broker Peter Albano in Firm LPL Financial LLC

May 29, 2026 | by Staff Attorney

Currently financial advisor Peter Albano (Albano), currently employed by brokerage firm LPL Financial LLC 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 $60,000.00 on August 25, 2020.

Products under DDPs include non-traded REITs, oil and gas offerings, equipment leasing investments, and a range of other alternative financial instruments. With high fees and costs, these alternative investments are usually inappropriate for investors and rarely provide meaningful returns. Brokers earn additional commissions for promoting these low-quality investments, fostering a system of skewed incentives that result in an artificially sustained market.

Broker Timothy Zimcosky in Arkadios Capital Firm Has Customer Complaint

May 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 27, 2020.

Breach of fiduciary duty, negligence, breach of contract, failure to supervise

Broker Kristin Pennock Jackson in LPL Enterprise, LLC Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristin Pennock Jackson (Pennock Jackson), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pennock 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 $45,000.00 on December 02, 2020.

Customer Alleges the rep did not fully disclose all the facts regarding the replacement of her policy.

There are Recent Customer Complaints with Broker Beau Sheedy in Firm Osaic Wealth, INC.

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Beau Sheedy (Sheedy), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sheedy 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 $18,484.18 on November 30, 2020.

Client alleges RR misrepresented an unsuitable variable annuity in 2019.

There are Recent Customer Complaints with Broker Alison Stine in Firm Gwn Securities INC.

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alison Stine (Stine), currently associated with Gwn Securities INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Stine 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 $18,484.18 on November 30, 2020.

Client alleges RR forged the signature of another RR on account opening documentation, and misrepresented an unsuitable variable annuity sold in 2019.

There are Recent Customer Complaints with Broker William Bass in Firm Park Avenue Securities LLC

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Bass (Bass), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bass 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 December 02, 2020.

Customer alleged the RR provided incorrect information related to a defined benefit plan, which resulted in the plan incurring tax consequences.