Securities Lawyers Blog

Broker Kyle Kelley in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 04, 2026.

Client alleges misrepresentation of the past performance of an exchange traded fund.

There are Recent Customer Complaints with Broker Alexis Lynch in Firm Ameriprise Financial Services, LLC

June 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 20, 2026.

Between June 3rd, 2024 and April 16th, 2026 the client alleges that the Financial Advisor and the Senior Wealth Strategy Associate sent out wire transfers that were illegal and without his knowledge and authorization to his ex-wife.

There are Recent Customer Complaints with Broker Richard Ross in Firm Cetera Wealth Services, LLC

June 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Ross (Ross), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ross 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 $5,000.00 on March 17, 2026.

Claimants allege unsuitable recommendations and breach of fiduciary duties

There are Recent Customer Complaints with Broker Anthony Falco in Firm J. Alden Associates, INC.

June 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Falco (Falco), currently associated with J. Alden Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Falco 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 $6,150,000.00 on July 26, 2024.

Plaintiffs allegedly purchased shares of stock in a private company known as lifebrand. The companies’ executives and board are alleged to have squandered company assets and breached their fiduciary duties. Defendant falco allegedly induced and encouraged plaintiff’s investment which mr falco denies.

There are Recent Customer Complaints with Broker Matthew White in Firm Cetera Wealth Services, LLC

June 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew White (White), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that White 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 $5,000.00 on March 17, 2026.

Claimant alleges unsuitable recommendations and breach of fiduciary duties.

There are Recent Customer Complaints with Broker Larry Smith in Firm Wells Fargo Clearing Services, LLC

June 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Smith (Smith), currently associated with Wells Fargo Clearing 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 pending customer complaint with a damage request of $15,863.00 on April 13, 2026.

Claimant alleges that beginning in January 2026, the registered representative recommended an unsuitable investment strategy and failed to follow instructions; however, Claimant does not appear to have any accounts with Wells Fargo Clearing Services.

There are Recent Customer Complaints with Broker Michael Rosen in Firm Wells Fargo Clearing Services, LLC

June 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 20, 2026.

Client complained that their Financial Advisor advised them to convert their Required Minimum Distribution into a ROTH IRA without disclosing that it did not meet RMD requirements, resulting in negative financial consequences. (6/12/2025 – 4/20/2026)

There are Recent Customer Complaints with Broker Troy Dueker in Firm Planmember Securities Corporation

June 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Dueker (Dueker), currently associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Dueker 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 $43,656.00 on April 23, 2026.

Client alleges that the Representative failed to follow instructions when attempting to lock in gains on a Registered Index Linked Annuity product and that the failure to reinvest the funds after moving them to cash resulted in the client losing out on significant investment gains.

There are Recent Customer Complaints with Broker Donald Chomas in Firm UBS Financial Services INC.

June 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Chomas (Chomas), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Chomas 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 $85,000.00 on April 22, 2026.

Time Frame: December 26, 2019 – to April 14th, 2026\, \, What were the allegations against the individual? The client alleges that his Financial Advisor did not manage his account in accordance with Finra suitability standards and in his best interest.\,

Broker Robert Shepherd in LPL Financial LLC Firm Has Customer Complaint

June 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Shepherd (Shepherd), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shepherd 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 $1,400,000.00 on February 20, 2026.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer's investment objectives between March 2022 through November 2022