Securities Lawyers Blog

Broker John Wilson in Ameriprise Financial Services, LLC Firm Has Customer Complaint

June 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 07, 2026.

Claimant alleges that from 2012 through current date, FA invested in unsuitable annuities.\,

Broker Mary Duffman in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 07, 2026.

Client alleges unauthorized trading 11/24/2025-5/7/2026.

There are Recent Customer Complaints with Broker Aaron Sevigny in Firm United Planners’ Financial Services of America A Limited Partner

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Sevigny (Sevigny), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Sevigny 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 $499,999.00 on May 08, 2026.

Breach of fiduciary duties, Violation of FINRA Rules, Breach of Contract and Negligence

Broker Eric Zeitler in LPL Financial LLC Firm Has Customer Complaint

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Zeitler (Zeitler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zeitler 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 $556,537.47 on May 12, 2026.

Claimant alleges that representative encouraged her to advance funds to her family members for the purchase of land and house-building on the land knowing that she was not on the title to the land. Claimant states that her claim is not related to investment/securities-related advice.

Broker Brian Tveter in Charles Schwab & Co., INC. Firm Has Customer Complaint

June 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 08, 2026.

In or around August 2021, the client claims the representative misrepresented the use of margin in his account when requesting cash withdrawals. The self-directed client asserts Schwab profited from charging more in margin interest on the increasing debit balance resulting from the client\\u2019s cash withdrawals.

There are Recent Customer Complaints with Broker Louis Pepe in Firm Capitol Securities Management, INC.

June 25, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Louis Pepe (Pepe), currently associated with Capitol Securities Management, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Pepe concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on May 06, 2026.

Deceased Customer representatives alleged excessive trading and unsuitable investment recommendations in a brokerage account. Complaint alleges that trading activity from 2022 through 2025 resulted in investment losses. Damages were not specified.

There are Recent Customer Complaints with Broker James Simpson in Firm Ausdal Financial Partners, INC.

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Simpson (Simpson), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Simpson 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 May 08, 2026.

Client alleges Unsuitable Recommendations, Breach of Fiduciary Duty, Negligence, Failure to Supervise, Misrepresentation and Omission, Violation of Finra Rules and industry standards related to illiquid/alternative investments purchased through his representative at Moloney Securities, and prior to moving his accounts to Ausdal. At no time has Mr. Simpson been the client’s representative, nor did he supervise the transactions at issue as they were not purchased through Ausdal.\,

There are Recent Customer Complaints with Broker Glenn Deal in Firm Thrivent Investment Management INC.

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Deal (Deal), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Deal 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 $8,538.80 on May 12, 2026.

Client alleged unauthorized Qualified Charitable Distributions occurred due to handwriting of corrected dollar amount and initials on corrected form not matching that of the owner. RR admitted that he placed the dollar amount and client initials on the corrected form.

There are Recent Customer Complaints with Broker Edward Turley in Firm J.P. Morgan Securities LLC

June 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 12, 2026.

Claimant alleges exercise of discretion and unsuitable trading. Activity dates January 2020- March 2022.

There are Recent Customer Complaints with Broker Jerry Sleight in Firm Fbl Marketing Services, LLC

June 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 15, 2026.

Customer alleged the life insurance policy was inappropriate, required lifelong premiums, and failed to meet intended needs, resulting in higher costs than alternative options. The complaint also raised concerns regarding policy ownership and beneficiary designations, lack of responsiveness, and requested surrender of the policy as part of a Medicaid spend-down process.