Securities Lawyers Blog

Broker Jason Tarver in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Tarver (Tarver), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Tarver 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 $5,173,597.57 on December 30, 2020.

The Claimant alleges an unsuitable investment strategy when a line of credit was opened and inappropriately leveraged against annuities in December of 2018. Claimant also alleges that she did not authorize the opening of the line of credit, as well as multiple wire transfers initiated by her then husband between 2017 and 2019. Additionally, Claimant alleges that her signature was forged by her former husband on opening documents for a loan management account.

Broker Sergio Rodriguez in Kovack Securities INC. Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sergio Rodriguez (Rodriguez), previously associated with Kovack Securities INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rodriguez 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 $300,000.00 on December 30, 2020.

: Time frame: Unspecified\<char_lb_r>\, \<char_lb_r>\, Allegations: Claimants allege their investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Paz Chandra in Osaic Wealth, INC. Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paz Chandra (Chandra), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chandra 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 December 31, 2020.

CUSTOMER ALLEGES UNSUITABLE ALTERNATIVE INVESTMENT RECOMMENDATION. ACTIVITY PERIOD: 1/2015\<char_lb_r>\, TO 12/2020.

There are Recent Customer Complaints with Broker Jay Slade in Firm Ameriprise Financial Services, LLC

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jay Slade (Slade), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Slade 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 31, 2020.

Client alleges negligence, professional negligence, violations of law, unsuitable recommendations, negligent supervision, breach of contract and breach of fiduciary duty.

Broker Thomas Sundberg in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Sundberg (Sundberg), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sundberg 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 $23,000.00 on December 29, 2020.

Claimant alleges that he was recommended an unsuitable, high-commission, high-risk, and speculative alternative investment, FSKR.

Broker David Wall in Voya Financial Advisors, INC. Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wall (Wall), previously associated with Voya Financial Advisors, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Wall recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 31, 2020.

Allegations include unsuitable, illiquid investments were recommended in 2014.

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

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Walcoe (Walcoe), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Walcoe 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 January 04, 2021.

Unsuitability, misrepresentation/omission, breach of fiduciary duty \\u00e2? “E11, E12, SOAEX

There are Recent Customer Complaints with Broker John Wyshak in Firm Raymond James & Associates, INC.

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Wyshak (Wyshak), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wyshak 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 $1,583,810.00 on December 29, 2020.

Claimant’s allegations include unsuitable investments from July 2010 to October 2014.

Broker Donna Howell in Cetera Advisors LLC Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Howell (Howell), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howell 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 $117,000.00 on December 30, 2020.

Claimant alleges the recommended investments were misrepresented, unsuitable, and over-concentrated.

Broker Kevin Butler in Morgan Stanley Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Butler (Butler), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $1,590,295.00 on December 31, 2020.

Claimant alleges, inter alia, failure to follow instructions with respect to option investment – Feb, 2020