Securities Lawyers Blog

There are Recent Customer Complaints with Broker James Lamont in Firm Whitehall-parker Securities, INC.

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Lamont (Lamont), previously associated with Whitehall-parker Securities, INC., has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Lamont 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 $100,000.01 on June 30, 2021.

Unsuitability of investments recommended.

There are Recent Customer Complaints with Broker Nathan Tritico in Firm Cambridge Investment Research, INC.

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Tritico (Tritico), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tritico 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 $20,667.00 on June 30, 2021.

Client alleges RR recommended a surrender of two annuities that resulted in penalties and tax consequences that she was unaware of until after the surrender was completed.

There are Recent Customer Complaints with Broker Steven Jennings in Firm D.h. Hill Securities, Lllp

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Jennings (Jennings), currently associated with D.h. Hill Securities, Lllp, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Jennings 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 June 29, 2021.

Suitability

There are Recent Customer Complaints with Broker David Buckwald in Firm M Holdings Securities, INC.

February 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2021.

Mr. Buckwald is a named respondent. Consumer alleges forgery of trustee’s signatures on insurance policy application; replacement and application of an insurance policy without consent; and unsuitability of insurance product. The alleged activity occurred in 2019.

Broker Gregory Halstead in Silver Oak Securities, Incorporated Firm Has Customer Complaint

February 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 30, 2021.

The client alleges the RR misrepresented the features of a variable insurance policy’s rider sold in 1994.

Broker Margaret Suite Arnold in Osaic Wealth, INC. Firm Has Customer Complaint

February 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 01, 2021.

Customer alleges the firm did not conduct adequate due diligence.

There are Recent Customer Complaints with Broker Stephen Sloane in Firm Westpark Capital, INC.

February 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 01, 2021.

Client is alleging unsuitable recommendations and churning treasuries.

There are Recent Customer Complaints with Broker James Armstrong in Firm D.h. Hill Securities, Lllp

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Armstrong (Armstrong), previously associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Armstrong 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 $175,000.00 on June 30, 2021.

Client alleges unsuitable recommendations and investment strategy, material misrepresentation, failure to supervise, and breach of contract for products sold to spouse between 2013 to 2015.

There are Recent Customer Complaints with Broker Jeffrey Senglaub in Firm Independent Financial Group, LLC

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Senglaub (Senglaub), currently associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Senglaub 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 $390,807.00 on June 28, 2021.

Claimant alleges the representative improperly concentrated his investment accounts with unsuitable alternative investments.

There are Recent Customer Complaints with Broker Richard Reynolds in Firm Northland Securities, INC.

February 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on June 29, 2021.

Claimants are stating the Reits were unsuitable