Securities Lawyers Blog

Broker Robert Armstrong in Dawson James Securities, INC. Firm Has Customer Complaint

May 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Armstrong (Armstrong), previously associated with Dawson James Securities, INC., 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 $2,330,000.00 on August 29, 2022.

Customer alleges in statement of claim breach of fiduciary duty and negligence in regards to unsold shares of HCMC.

Broker John Desselle in the Leaders Group, INC. Firm Has Customer Complaint

May 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Desselle (Desselle), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Desselle 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 $30,085.00 on July 17, 2023.

The Complainant alleges that the representative failed to disclose to the Complaintant that a transaction would result in a taxable event.

Broker Alberto Roditi in Oppenheimer & CO. INC. Firm Has Customer Complaint

May 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $2,000,000.00 on February 20, 2024.

Plaintiffs alleged that they were not sufficiently informed of risks of positions following losses during March of 2020, that IAR was not sufficiently supervised, and that exceeding maximum drawdown objectives constituted a breach of contract.

Broker Richard Wesselt in Fortune Financial Services, INC. Firm Has Customer Complaint

May 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Wesselt (Wesselt), previously associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wesselt 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 $100,000.00 on October 06, 2025.

Claimants allege that Wesselt made unsuitable recommendations regarding the purchase of life insurance policies

Broker Matthew Nance in Morgan Stanley Firm Has Customer Complaint

May 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 29, 2025.

Time Frame: January 5th, 2012 to February 24th, 2015\, \, What were the allegations against the individual: The firm settled a matter where the financial advisor failed to follow her instructions and placed her son as the annuitant on the contract instead of her. \,

There are Recent Customer Complaints with Broker Ehud Gersten in Firm Concorde Investment Services, LLC

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ehud Gersten (Gersten), previously associated with Concorde Investment Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Gersten recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 02, 2026.

Negligence, Breach of fiduciary duty

Broker Peter Economos in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

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

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

Customer alleges Financial advisor failed to follow instructions from April 2020 through March 2026

Broker Jacob Harvey in Realta Equities, INC. Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 03, 2026.

Claimant alleges improper recommendations and other acts and omissions.

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

May 21, 2026 | by Staff Attorney

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

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

Claimants allege that in 2025, the FA did not properly advise the Claimants regarding the objectives as they related to their financial goals.

There are Recent Customer Complaints with Broker Matthew Chancey in Firm Realta Equities, INC.

May 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 03, 2026.

Claimant alleges improper recommendations and other acts and omissions.