Securities Lawyers Blog

There are Recent Customer Complaints with Broker Roberto Vila in Firm Morgan Stanley

November 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 03, 2022.

The customer alleges unsuitable investment recommendations that contradicted their best interest and unauthorized trading. The customer also alleges that misleading reports were presented, omitting pertinent information from 4/1/2014 to 4/31/2022. .

There are Recent Customer Complaints with Broker John Fuller in Firm Cambridge Investment Research, INC.

November 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 04, 2022.

Client alleges FP failed to meet services expectations, traded funds that locked in unnecessary losses and did not monitor her accounts appropriately.

Broker Dennis Shidler in Brokers International Financial 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 Dennis Shidler (Shidler), previously associated with Brokers International Financial Services, LLC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shidler 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 $20,000.00 on August 05, 2022.

Claimant claims breach of fiduciary duty and negligence by the Firm and that recommendations were unsuitable based on type of investment sold and claimant’s lack of understanding.

There are Recent Customer Complaints with Broker Christopher Keelin in Firm Money Concepts Capital CORP

November 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Keelin (Keelin), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Keelin 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 $250,000.00 on July 28, 2022.

The customer is alleging misrepresentation of investments made in 2015 and 2016. The customer also alleges investments were unsuitable based on her objective and financial profile. This matter is currently under review.

Broker John Lancaster in Ausdal Financial Partners, INC. Firm Has Customer Complaint

November 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lancaster (Lancaster), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lancaster 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 $75,000.00 on August 04, 2022.

Breach of fiduciary duty, suitability, material misrepresentation in the sale of the investments, failure to supervise related to an investment in GWG L Bonds in November 2020 and January 2021. GWG filed for bankruptcy in June 2022 and the clients filed the arbitration soon after.

There are Recent Customer Complaints with Broker James Baroutas in Firm B. Riley Wealth Management

November 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Baroutas (Baroutas), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Baroutas 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 $300,000.00 on July 27, 2022.

Claimant alleges Rep exchanged a portfolio of blue chip stocks without her knowledge for the following investments: IN8Bio; Eloxx Pharmaceutical; Journey Medical, Runway Growth; Landsea Homes; Cadiz; Doubledown Interactive; LifeMD; and Minim

Broker Karen Cunningham in Kestra 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 Karen Cunningham (Cunningham), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cunningham 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 $150,000.00 on August 01, 2022.

Claimant alleges that Cunningham knowingly made an unsuitable recommendation to the Trust in Noble Royalty Access Fund IV, LP; as the claimaint believes the Trust was not a sophisticated investor and the recommendations did not meet her investment objectives. It’s further alleged that Cunningham failed to make applicable disclosures to the Trust regarding commissions and risks associated with the investment and Cunningham misrepresentated the investment.

Broker Michael Bristoll in Vanguard Marketing Corporation Firm Has Customer Complaint

November 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2022.

The client gave specific instructions to not sell shares of John Marshal Bancorp for investing purposes when establishing managed plan. When plan was funded, John Marshal Bancorp was included in the sell transactions and subsequent shares were sold during systematic rebalancing of account per financial plan. The alleged activity took place between December, 2020 and May, 2022.

Broker Robert Meyer in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

November 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Meyer (Meyer), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 $99,999.00 on August 11, 2022.

The client alleged the representative did not act in a timely manner in liquidating his shares of HTI after they transferred to Computershare; which, he states caused additional losses in the investment. Additionally, the client alleged the representative has not been transparent and that he has not received statements reflecting his purchases through the representative. In August 10, 2022, the client filed an arbitration, in which the client alleges the representative made unsuitable recommendations and misrepresented the investments purchased. The client has also alleged the firm failed to conduct adequate due diligence and failed to supervise the activities of the representative.

Broker Wayne Rentschler in American Equity Investment Corporation Firm Has Customer Complaint

November 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Rentschler (Rentschler), previously associated with American Equity Investment Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Rentschler 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 $86,000.00 on August 15, 2022.

Investment made on July, 2020 in GWG L-bond. L-Bond stopped paying interest in February 2022 and in April, 2022, GWG filed for re-organization under Chapter 11 bankruptcy.