Securities Lawyers Blog

Broker Siobhan Brady in UBS Financial Services Inc. Firm Has Customer Complaint

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Siobhan Brady (Brady), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Brady 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 $1,000,000.00 on November 01, 2024.

Time frame: 2008 and 2022, Claimants allege that account used to collateralize a line of credit was unsuitably allocated in equities. Claimants further allege that the overall investment strategy was not in their “Best Interest”.

Broker Kerrie Coe in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kerrie Coe (Coe), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Coe 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 $640,000.00 on December 17, 2024.

Claimant alleges unsuitable investment recommendations with resulted in losses.

Broker Mimi Park in U.S. Bancorp Investments, Inc. Firm Has Customer Complaint

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mimi Park (Park), currently associated with U.S. Bancorp Investments, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Park 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 $600,000.00 on November 22, 2024.

Customer alleges misappropriation of funds and that representative refused to execute her requested wire.

There are Recent Customer Complaints with Broker Tiffany Keigley in Firm Morgan Stanley

February 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 08, 2024.

CLIENT HAS ALLEGED THAT CLIENT SERVICE ASSOCIATE USED CLIENT’S ACCOUNT TO PAY BILLS AND TO MAKE VARIOUS CASH TRANSFERS TO, OR FOR THE BENEFIT OF, THE CLIENT SERVICE ASSSOCIATE, WITHOUT THE CLIENT’S PERMISSION, 2018-2024

Broker Shannon Roehrs in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Roehrs (Roehrs), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Roehrs 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 $2,377,594.00 on November 27, 2024.

Claimaint alleges unauthorizing trading, unsuitable investment recommendation, misrepresentation and failure to act in the customer’s best interest in July 2020.

Broker Michael Mcnicholas in LPL Financial LLC Firm Has Customer Complaint

February 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 14, 2024.

A former client who is the ex-husband of the client, alleged that Advisor’s client violated the terms of their marital separation agreement and misappropriated funds from their daughter. Advisor was not alleged to have taken any funds; however, it was alleged that Advisor failed to notify the daughter of the alleged misappropriation after taking instructions from the account holder, his client, in July 2024.

There are Recent Customer Complaints with Broker Robert Dechick in Firm D.h. Hill Securities, Lllp

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Dechick (Dechick), currently associated with D.h. Hill Securities, Lllp, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Dechick 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 $50,000.00 on November 05, 2024.

Claimants allege unsuitable recommendation and misrepresentation of product sold in Nov 2020

There are Recent Customer Complaints with Broker Russell Fieger in Firm Colorado Financial Service Corporation

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Fieger (Fieger), currently associated with Colorado Financial Service Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Fieger 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 $325,000.00 on November 07, 2024.

Customers allege breach of fiduciary duty, lack of suitability, impermissible overconcentration and misrepresentation & omission of material information related to the sale of an alternative investment in Direct Investment-DPP & LP Interests. Claim seeks $325,000.00 in damages and is currently under arbitration as of 10/03/2024. [REDACTED] is a client of Russell Fieger’s and did one oil and gas product on 02/04/2015 signed by [REDACTED] for $25,000.00. [REDACTED] lives in Kansas not Missouri. Russell Fieger has never met [REDACTED].

There are Recent Customer Complaints with Broker Arkady Milgram in Firm MML Investors Services, LLC

February 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 12, 2024.

The complainant alleges that the Variable Annuity she purchased from the registered representative in/and around June 3, 2014, was unsuitable for her, as it was illiquid, expensive and low performing. The complainant also alleges that Whole Life policies she purchased in/and around December 2008 and August 2010, which were marketed and sold as retirement investments, were misrepresented and unsuitable, given the annual premium costs. The complainant also alleges that the Firm had a fiduciary duty to review the transactions.

There are Recent Customer Complaints with Broker Peter Po in Firm Emerson Equity LLC

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least 12 disclosable events. These events include 12 customer complaints, alleging that Po 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 November 27, 2024.

Breach of contract, breach of fiduciary duty, negligence and gross negligence, violation of Best Interest obligation in connection with corporate bonds purchased during 2019-2020.