Securities Lawyers Blog

There are Recent Customer Complaints with Broker Daniel Lane in Firm Cetera Wealth Services, LLC

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Lane (Lane), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lane 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 $27,000.00 on January 20, 2021.

Claimant alleges Respondent misrepresented, over-concentrated and recommended unsuitable investment.

There are Recent Customer Complaints with Broker David Huisinga in Firm LPL Financial LLC

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Huisinga (Huisinga), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huisinga 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 January 20, 2021.

Claimant alleges that purchases of alternative investments and annuities at a prior broker-dealer were unsuitable. Activity Period 4/2013 – 1/2021.

There are Recent Customer Complaints with Broker Daniel Dillard in Firm Union Capital Company

April 15, 2026 | by Staff Attorney

Previously financial advisor Daniel Dillard (Dillard), previously employed by brokerage firm Union Capital Company has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 settled customer complaint with a damage request of $1,500,000.00 on January 19, 2021.

Customers allege recommendations of certain private placement investments were not suitable, and that the Firm did not conduct proper due diligence on certain investments.

There are Recent Customer Complaints with Broker Jay Panzer in Firm LPL Financial LLC

April 15, 2026 | by Staff Attorney

Currently financial advisor Jay Panzer (Panzer), currently employed by brokerage firm LPL Financial 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 settled customer complaint on January 20, 2021.

Claimant alleges her investment professional recommended she invest in certain REITs and Business Development Companies which were allegedly unsuitable for her investment portfolio.

Broker Charles Morris in Nylife Securities LLC Firm Has Customer Complaint

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Morris (Morris), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morris 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 $7,756.34 on January 19, 2021.

Customer alleges the Variable Annuity policy she purchased in April 2019 was originally understood to be a rollover of her existing annuity with her previous broker-dealer and that she did not understand that a new surrender period had been created. Customer further alleges that the fees associated with this policy are further eroding her balance therefore she is requesting a surrender of this policy without any fees as well as a reimbursement of any fees associated with this annuity.

Broker Harrison Nathan in MML Investors Services, LLC Firm Has Customer Complaint

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harrison Nathan (Nathan), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nathan 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 $200,000.00 on January 21, 2021.

The complainant alleges that beginning in or around 2012, his portfolio was churned when inappropriate transactions were made in an effort to maximize the rep’s commissions at his expense.

Broker Peter Ianace in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Ianace (Ianace), previously associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Ianace 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 $18,000,000.00 on January 25, 2021.

The customers allege unsuitable investment recommendations and misrepresentations from February 2013 until December 2019.

Broker Roy Nazaroff in LPL Financial LLC Firm Has Customer Complaint

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Nazaroff (Nazaroff), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nazaroff 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 $32,000.00 on January 19, 2021.

Claimant alleges that the purchase of one reit investment in 2014 was unsuitable. Activity period: 12/2014 – 1/2021.

There are Recent Customer Complaints with Broker Anthony Livorio in Firm Trustmont Financial Group, INC.

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Livorio (Livorio), previously associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Livorio 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 $9,000.00 on January 25, 2021.

Failure to follow instructions from the client.

Broker Nathan Foret in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Foret (Foret), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Foret 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 January 25, 2021.

Claimants allege that their advisor recommended that they utilize margin in their accounts that was not suitable for them and caused an increase in the management fees that they paid on their accounts. Claimants also allege their advisor recommended an unsuitable security in an account and overconcentrated a position a separate account.