Securities Lawyers Blog

There are Recent Customer Complaints with Broker Barbara Landry 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 Barbara Landry (Landry), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Landry 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 FAs failed to communicate with Claimants about their investments despite receiving account fees and improperly received both mutual fund commissions and account fees. Alleged Activity Dates: 2/13/2009 to present.

There are Recent Customer Complaints with Broker Ralph Baker in Firm Ameriprise Financial Services, INC.

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Baker (Baker), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 $111,000.00 on January 05, 2021.

Claimant alleges that he was recommended unsuitable, high-commission, high-risk, and speculative alternative investments, FSKR and CNL Healthcare Properties.

There are Recent Customer Complaints with Broker Frederick Driscoll in Firm Cetera Wealth Services, LLC

April 17, 2026 | by Staff Attorney

Currently financial advisor Frederick Driscoll (Driscoll), currently employed by brokerage firm Cetera Wealth Services, 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 $100,000.00 on January 06, 2021.

The claimant alleges that representative invested 100% of her mother’s IRA assets into a risky and illiquid non-traded REIT investment.

Broker William Wolff in First Manhattan CO Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Wolff (Wolff), previously associated with First Manhattan CO, has at least one disclosable event. These events include one customer complaint, alleging that Wolff 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 $714,153.00 on January 07, 2021.

Customer alleged that First Manhattan Co. (“FMC”) inappropriately placed investment portfolio into fee-paying investment advisory accounts and made various allegations regarding the suitability of investments and the registration status of the investment advisor. Customer did not specify a demand but ultimately demanded return of all advisory fees which amounted to $714,153.

There are Recent Customer Complaints with Broker Kenneth Pesavento in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Pesavento (Pesavento), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pesavento 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 January 06, 2021.

The deceased customer’s estate and trust alleges unsuitable investment recommendations and failure to disclose excessive fees.

Broker Caleb Stephens in Park Avenue Securities LLC Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Caleb Stephens (Stephens), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stephens 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 $72,000.00 on January 17, 2021.

The client alleges that the financial advisor provided poor advice regarding July 2017 IRA distribution.

There are Recent Customer Complaints with Broker David Weisberg in Firm Worden Capital Management LLC

April 16, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker David Weisberg (Weisberg), previously associated with Worden Capital Management LLC, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Weisberg concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $47,629.58 on January 15, 2021.

Churning and quantitative unsuitability, misrepresentation and unsuitability. The alleged activity occurred between October\<char_lb_r>\, 2017 and December 2019.

Broker Johnny Rutledge in LPL Financial LLC Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

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

Claimants allege their financial professional recommended they invest in a municipal bond, a corporate debenture and an open-end mutual fund that were unsuitable for their investment portfolio. Activity period: 11/2016 to 12/20.

There are Recent Customer Complaints with Broker Christian Maguire in Firm Morgan Stanley

April 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 12, 2021.

Client alleges that she did not authorize the sale of stocks in her trust account in January 2020. damages unspecified

There are Recent Customer Complaints with Broker Christopher Black in Firm LPL Financial LLC

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Black (Black), previously associated with LPL Financial LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Black recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 12, 2021.

Without admitting or denying the findings, Black consented to the sanction and to the entry of findings that he refused to provide information and documents that were requested by FINRA in connection with an investigation into circumstances of his termination from his former member firm. The findings stated that Black’s former firm filed a Form U5 stating that it had terminated Black for entering into undisclosed loan arrangements with a customer without providing notice to the firm.