Securities Lawyers Blog

There are Recent Customer Complaints with Broker Mark Lininger in Firm Equitable Advisors, LLC

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Lininger (Lininger), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lininger 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 $5,000.00 on March 02, 2026.

Client alleges the RR misrepresented the advisory fees associated with the cash and fixed income within their account.

Broker Jimmy Driggers in Morgan Stanley Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jimmy Driggers (Driggers), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Driggers 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 $5,000,000.00 on March 04, 2026.

Claimant alleges, inter alia, that the investment strategy executed in the client’s account was unsuitable Apr 2008 – Mar 2021

There are Recent Customer Complaints with Broker Lawrence Labine in Firm Newbridge Securities Corporation

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Labine (Labine), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Labine 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 $250,000.00 on March 04, 2026.

Breach of fiduciary duty and negligence.

Broker Kenneth Arena in Cetera Wealth Services, LLC Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Arena (Arena), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arena 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 $500,000.00 on March 04, 2026.

Breach of contract, breach of fiduciary duty, failure to supervise, negligence, misrepresentations, violation of finra rules, violation of the state and federal securities laws, and violation of the best interest obligations (reg b1).

There are Recent Customer Complaints with Broker Cassidy Bearinger in Firm Principal Securities, INC.

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cassidy Bearinger (Bearinger), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bearinger 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 $6,680.00 on March 06, 2026.

The client alleged that the registered representative did not enter his trade orders as requested.

Broker Gabriel Martin in LPL Financial LLC Firm Has Customer Complaint

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gabriel Martin (Martin), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 that representative failed to adequately disclose risks in connection with an investment recommendation.

There are Recent Customer Complaints with Broker Alexander Staverosky in Firm Emerson Equity LLC

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Staverosky (Staverosky), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Staverosky 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 $400,000.00 on March 06, 2026.

Suitability; misrepresentations and omissions; breach of fiduciary duty; breach of contract; negligence and violation of the California Securities Act and Federal securities laws. August 2022

Broker Damien Martinez in Principal Securities, INC. Firm Has Customer Complaint

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Damien Martinez (Martinez), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinez 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 $6,680.00 on March 06, 2026.

The client alleged that the registered representative did not enter his trade orders as requested.

There are Recent Customer Complaints with Broker Troy Robertson in Firm Copley Alternative Investments INC.

May 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 09, 2026.

Breach of contract, violation of state securities statutes, Violation of Regulation Best Interest, vicarious liability, breach of fiduciary duty

Broker Matthew Copley in Emerson Equity LLC / Copley Alternative Investments INC. Firm Has Customer Complaint

May 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 09, 2026.

Breach of contract, violation of state securities statutes, Violation of Regulation Best Interest, vicarious liability, breach of fiduciary duty