Securities Lawyers Blog

There are Recent Customer Complaints with Broker Rodney Repko in Firm Lincoln Financial Advisors Corporation

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rodney Repko (Repko), previously associated with Lincoln Financial Advisors Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Repko recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 11, 2021.

The client alleges the RR processed withdrawals from his variable annuity without his consent and harming the guarantees provided by the annuity.

Broker Nadya Mirza in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nadya Mirza (Mirza), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mirza recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 05, 2021.

Client alleges representative misrepresented that client could take out funds under to the CARES Act without penalty.

Broker Kevin Fles in Cetera Advisors LLC Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Fles (Fles), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fles 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 $25,000.00 on January 05, 2021.

Claimant alleges their registered representative recommended unsuitable investments

Broker Scott Ferguson in Cambridge Investment Research, INC. Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Ferguson (Ferguson), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ferguson 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 January 04, 2021.

Claimant’s allege that the financial professional recommended an alternative investment that was unsuitable.

Broker Brad Small in Osaic Wealth, INC. Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brad Small (Small), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Small 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 $24,750.00 on January 04, 2021.

Claimants allege breach of contract and unjust enrichment.

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

April 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 06, 2021.

Claimants allege unauthorized trading, failure to adequately disclosure fees, failure to communicate with Claimants about their investments despite receiving account fees, and improperly receiving both mutual fund commissions and account fees. Alleged Activity Dates: 2/13/2009 to present.

Broker Vincent Petrangelo in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 06, 2021.

Claimants allege Branch Manager failed to adequately supervise Claimants’ FAs. Alleged Activity dates: 2/13/2009 to present.

Broker Jeffrey Cleek in Valic Financial Advisors, INC. Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Cleek (Cleek), currently associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cleek 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 $12,059.15 on January 08, 2021.

Clients allege they requested their registered representative move their accounts on October 20, 2020 to a short-term fixed interest fund. The requested transactions were not performed by the registered representative, causing their accounts to incur market losses.

Broker Steven Dean in LPL Financial LLC Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 05, 2021.

The customer alleged unsuitable recommendation.

Broker Edman Alicea Rodriguez in Popular Securities, LLC Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2021.

Claimant alleged that Financial Consultant investment recommendations to purchase P.R. Securities were unsuitable in light of the clients’ risk profile. Claimants also alleged that recommendations made by the Financial Consultant were outrageous in light of Puerto Rico’s well known deteriorating financial condition.