Securities Lawyers Blog

There are Recent Customer Complaints with Broker Arthur Littlefield in Firm LPL Financial LLC

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Littlefield (Littlefield), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Littlefield 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 $50,000.00 on July 27, 2022.

Claimant alleges their representative recommended an unsuitable investment in an oil and gas program.

There are Recent Customer Complaints with Broker Philip Board in Firm Centaurus Financial, INC.

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Board (Board), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Board 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 $60,000.00 on July 22, 2022.

During the period 2020 through the filing of this arbitration, the customers allege that the Registered Representative misrepresented an unsuitable high-risk, illiquid investment and breached his fiduciary duty.

Broker Tony Hodge in the Leaders Group, INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 26, 2022.

Breach of fiduciary duty, negligence, misrepresentation. Dates are from 2014-2015

There are Recent Customer Complaints with Broker Stephen Gooditis in Firm Royal Alliance Associates, INC.

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Gooditis (Gooditis), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gooditis 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 $75,618.48 on July 20, 2022.

Customers alleged that a variable annuity they purchased in March 2022 was not appropriate for them

There are Recent Customer Complaints with Broker John Tweardy in Firm H. Beck, INC.

November 11, 2025 | by Staff Attorney

Previously financial advisor John Tweardy (Tweardy), previously employed by brokerage firm H. Beck, 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 $39,000.00 on July 25, 2022.

Client alleges that Financial Professional misrepresented the risks associated with BDCs and that the investments were unsuitable. Dates of activity: 6/1/12 to 8/16/13.

Broker Ronald Hamilton in Osaic Institutions, INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Hamilton (Hamilton), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 $35,000.00 on July 26, 2022.

Clients allege representative communicated that the annuity calendar year and the annuity benefit year were interchangeable.

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

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mattes (Mattes), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mattes 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 $556,566.58 on July 27, 2022.

The customer alleges that a line of credit was unsuitable for his investment objectives. He also alleges failure to disclose material facts and unauthorized transfers from April of 2016 until April of 2019.

Broker Cody Smith in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

November 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cody Smith (Smith), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $5,000.00 on August 02, 2022.

Customer alleges that in or around April 2021, the Representative failed during the sales process to provide him with a satisfactory understanding of the variable universal life insurance policy purchased. Customer believed he was purchasing an investment that that he could pull his funds from at any time and alleges he was not aware of charges associated with the policy.

There are Recent Customer Complaints with Broker Sophie Cook in Firm Nylife Securities LLC

November 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 29, 2022.

Customer alleges the Variable Universal Life insurance policy he purchased in August 2021 was originally understood to be an investment growth account that would allow for withdrawals without any fees.

Broker Travis Kohn in LPL Financial LLC Firm Has Customer Complaint

November 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 01, 2022.

Customer alleged failure to follow instructions with respect to liquidation of mutual funds.