Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jeffrey Montville in Firm Oppenheimer & CO. INC.

April 15, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jeffrey Montville (Montville), currently associated with Oppenheimer & CO. INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Montville 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 January 21, 2021.

Claimant asserts claims of violations of FINRA Rules, negligence, misrepresentations and omissions of fact, and breach of fiduciary duty arising from allegedly failing to halt Claimant from engaging in unspecified risky trades, excessive trading on margin, and\<char_lb_r>\, over-concentrated short position in one stock.From 2017 to 2020.

Broker Patrick Kinder in Allstate 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 Patrick Kinder (Kinder), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kinder 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 beginning in or around 2001, his portfolio was churned when inappropriate transactions were made in an effort to maximize the rep’s commissions at his expense.

Broker Richard Whalen in UBS Financial Services INC. Firm Has Customer Complaint

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Whalen (Whalen), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Whalen 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 $492,171.00 on January 25, 2021.

Time Frame: January 2, 2017 to November 20, 2020 \<char_lb_r>\, Client’s Counsel alleges the account was invested in unsuitable securities, which were overconcentrated in the energy sector while also material information regarding the nature of the investments was omitted and not provided to the client.

There are Recent Customer Complaints with Broker Peter Steege in Firm Western International Securities, INC.

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Steege (Steege), previously associated with Western International Securities, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Steege 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 $163,000.00 on January 20, 2021.

Unsuitability

There are Recent Customer Complaints with Broker Gregory Dolin in Firm Royal Alliance Associates, INC.

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Dolin (Dolin), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dolin 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 $100,760.00 on January 22, 2021.

Unsuitable investment recommendation in private fund

There are Recent Customer Complaints with Broker Jason Jaynes in Firm Wells Fargo Clearing Services, LLC

April 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Jaynes (Jaynes), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jaynes 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.

There are Recent Customer Complaints with Broker Glenn Romer in Firm Center Street Securities, INC.

April 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Romer (Romer), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Romer 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 $1,000,000.00 on March 28, 2025.

Glenn Romer was named in a customer complaint that asserted the following causes of action: breach of fiduciary duty; violation of FINRA/NYSE rules, breach of contract and negligence; negligent supervision; violation of Illinois securities laws and other securities laws, acts and regulations; fraudulent inducement to hold investment; financial elder abuse; and unjust enrichment. The causes of action relate to Respondents’ alleged mishandling of Claimant’s assets by failing to properly allocate and diversify Claimant’s investment portfolio.

There are Recent Customer Complaints with Broker William Deichmann in Firm Morgan Stanley

April 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Deichmann (Deichmann), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Deichmann 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 $350,000.00 on June 07, 2024.

Client alleged that an options trading strategy was unsuitable.

Broker Ty Buckelew in Edward Jones Firm Has Customer Complaint

April 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ty Buckelew (Buckelew), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Buckelew 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 $700,000.00 on February 08, 2023.

Unsuitable investment recommendations not consist with risk profile resulting in a lost a substantial amount of capital.

Broker Michael Androulakis in Alexander Capital, L.p. Firm Has Customer Complaint

April 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Androulakis (Androulakis), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Androulakis 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 $25,000.00 on January 25, 2021.

Breach of Fiduciary Duty; Negligence; Improper Conduct; Breach of Contract; Violation of applicable laws and industry rules. Purchase made in 2015 through Present.