Securities Lawyers Blog

Broker Federico Lopez in UBS Financial Services INC. Firm Has Customer Complaint

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Federico Lopez (Lopez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopez 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 $112,000.00 on December 28, 2020.

Time frame: 2004-present\<char_lb_r>\, \<char_lb_r>\, Allegations: Claimants allege their investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

There are Recent Customer Complaints with Broker Jeffrey Duncan in Firm Ausdal Financial Partners, INC.

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Duncan (Duncan), previously associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duncan 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 $95,000.00 on December 28, 2020.

Unsuitable investments

Gana Weinstein Nominated for Best Business Tort Law Firm in the United States By The National Law Journal

May 26, 2026 | by Staff Attorney

Gana Weinstein LLP is proud to announce that it has been nominated by The National Law Journal for Best Business Tort Law Firm in the United States as part of the publication’s 2026 Elite Trial Lawyers awards.

The Elite Trial Lawyers awards recognize leading plaintiff-side law firms and attorneys across the country who have achieved significant results in high stakes litigation and arbitration. The awards are administered by The National Law Journal and Law.com, two of the most recognized legal industry publications in the United States.

The nomination reflects Gana Weinstein LLP’s continued national work representing investors, businesses, and individuals harmed by financial misconduct, fraud, breaches of fiduciary duty, and other complex business torts. The firm has built a reputation for aggressively pursuing claims against broker dealers, investment advisers, financial institutions, and other entities that fail to protect investors and consumers.

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

May 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Korn (Korn), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Korn 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 $41,298.68 on March 20, 2024.

The customer alleges they received incorrect information from a firm employee regarding use of a vanguard check to remit irs payment, resulting in penalties and interest, and seeks reimbursement.

There are Recent Customer Complaints with Broker Nicholas Rhode in Firm Baker Tilly Capital, LLC

May 26, 2026 | by Staff Attorney

Currently financial advisor Nicholas Rhode (Rhode), currently employed by brokerage firm Baker Tilly Capital, 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 pending customer complaint with a damage request of $200,000.00 on October 06, 2025.

The claimant invested in a private placement 12/30/2020 and now claims that the firm failed to perform adequate due diligence of the private placement.

There are Recent Customer Complaints with Broker Tracey Nguyen in Firm Baker Tilly Capital, LLC

May 26, 2026 | by Staff Attorney

Previously financial advisor Tracey Nguyen (Nguyen), previously employed by brokerage firm Baker Tilly Capital, 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 pending customer complaint with a damage request of $200,000.00 on October 06, 2025.

The claimant invested in a private placement 12/30/2020 and now claims that the firm failed to perform adequate due diligence of the private placement.

There are Recent Customer Complaints with Broker Jason Payne in Firm Charles Schwab & Co., INC.

May 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 30, 2025.

Client alleges that they were not properly advised regarding irs rules and tax implications associated with an indirect ira rollover, including limitations related to multiple distributions, resulting in potential financial harm.

There are Recent Customer Complaints with Broker Michael Todd in Firm Axa Advisors, LLC

May 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Todd (Todd), previously associated with Axa Advisors, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Todd 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 $147,000.00 on May 07, 2025.

This litigation arises from a series of unsuitable financial product and investment strategy recommendations made by Defendants to Plaintiff between May 2018 and February 2023.

There are Recent Customer Complaints with Broker Michael Shillin in Firm A.g.p. / Alliance Global Partners

May 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Shillin (Shillin), previously associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Shillin 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 $495,000.00 on June 04, 2025.

Clients allege misrepresentation of products, failure to conduct proper due diligence of investments and failure to supervise from May 2018 to April 2022.

Broker Elvis Beslagic in Td Ameritrade, INC. Firm Has Customer Complaint

May 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $120,750.10 on December 19, 2022.

Elvis Beslagic was named in a customer complaint that asserted the following causes of action: violation of Section 10(b) of the Securities Exchange Act of 1934 and Securities Exchange Commission Rule 10b-5 promulgated thereunder for churning, general anti-fraud, unsuitable securities and transactions as part of a scheme to defraud, discretionary and unauthorized trading and breach of fiduciary duty.