Securities Lawyers Blog

There are Recent Customer Complaints with Broker Megan Clark in Firm Madison Avenue Securities, LLC

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Megan Clark (Clark), currently associated with Madison Avenue Securities, LLC, 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 $23,561.86 on December 01, 2020.

Breach of fiduciary duty, unsuitable recommendations, failure to supervise

Broker Levi Earhart in Vanguard Marketing Corporation Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 08, 2020.

Client alleges the advisor made an unauthorized trade in his taxable account causing him tax consequences. The activity occurred on December 7, 2020.

Broker Ethan Collins in Hightower Securities, LLC Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

Currently financial advisor Ethan Collins (Collins), currently employed by brokerage firm Hightower Securities, 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 $50,000.00 on December 02, 2020.

Ethan Collins is not a respondent in this arbitration. He is identified as a relevant non-party in a FINRA arbitration alleging certain sales practice violations, including a violation of suitability obligations, in connection with a private placement investment made on or around March of 2017.

Broker Matthew Courchesne in Wilmington Capital Securities, LLC Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 30, 2020.

Suitability

Broker George Jameson in LPL Financial LLC Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Jameson (Jameson), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jameson 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 03, 2020.

Client alleged that advisor did not implement dollar cost averaging strategy in discretionary account per client’s instruction provided in May 2020

There are Recent Customer Complaints with Broker William Faivus in Firm World Equity Group, INC.

May 28, 2026 | by Staff Attorney

Currently financial advisor William Faivus (Faivus), currently employed by brokerage firm World Equity Group, 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 $150,000.00 on December 02, 2020.

Alleging unsuitable transactions in re: the purchase of certain REITs between November 2013 and June 2014

There are Recent Customer Complaints with Broker Neil Zeller in Firm Thrivent Investment Management INC.

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Zeller (Zeller), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Zeller 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 $10,473.00 on December 23, 2020.

Client alleged the recommendation to exchange mutual funds in March 2020 was not in her best interest.

Broker Cory Davern in Valic Financial Advisors, INC. Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cory Davern (Davern), currently associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davern 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 $235,000.00 on December 02, 2020.

Claimants allege registered representative provided unsuitable recommendations and misrepresented the associated risks, leading to inappropriate investments that resulted in lost capital.

There are Recent Customer Complaints with Broker Robert Patti in Firm LPL Financial LLC

May 28, 2026 | by Staff Attorney

Currently financial advisor Robert Patti (Patti), 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 $250,000.00 on November 27, 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 selling these products are paid additional commission in order to hype these inferior quality investments providing a perverse incentives to create an artificial market for the investments.

There are Recent Customer Complaints with Broker Anthony Cancela in Firm Nylife Securities LLC

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Cancela (Cancela), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cancela 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 $9,912.00 on December 03, 2020.

Customer alleges that he was misled regarding tax benefits when he purchased Variable Universal Life Insurance policies in December 2019 and March 2020. Customer requests a refund of premiums paid.