Securities Lawyers Blog

There are Recent Customer Complaints with Broker Ryan Sherer in Firm Emerson Equity LLC

February 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 14, 2025.

Violation of federal securities laws; violations of the California Securities Laws; Unsuitable recommendations, misrepresentations and omissions of material fact; California unfair, unlawful, and fraudulent business practices; common law fraud; breach of contract; breach of fiduciary duty; negligence and gross negligence. 2021

There are Recent Customer Complaints with Broker Mark Ramos in Firm LPL Financial LLC

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Ramos (Ramos), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ramos 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 November 21, 2025.

Customer alleges poor performance and unsuitable investment recommendations.

Broker Edward Munoz in LPL Financial LLC Firm Has Customer Complaint

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Munoz (Munoz), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Munoz 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 November 21, 2025.

Customer alleges poor performance and unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Mahmoud Elawadi in Firm Wells Fargo Clearing Services, LLC

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mahmoud Elawadi (Elawadi), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Elawadi 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 $1,500,000.00 on November 25, 2025.

Attorney representing client claims the Financial Advisor falsely induced their client to invest funds into a business owned by the Financial Advisor. (11/1/2022-11/25/2025)

There are Recent Customer Complaints with Broker Bryan Lubitz in Firm Equitable Advisors, LLC

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Lubitz (Lubitz), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lubitz 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 $100,000.00 on November 20, 2025.

Client alleges RR misrepresented the risk and potential return of alternative investments.

There are Recent Customer Complaints with Broker Todd Chaney in Firm Ameriprise Financial Services, LLC

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Chaney (Chaney), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chaney 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 $100,000.00 on November 24, 2025.

Claimants generally allege unsuitable investment recommendation, misrepresentations and omissions, breach of fiduciary duty and breach of contract.

There are Recent Customer Complaints with Broker James Witkowski in Firm Cetera Advisors LLC

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Witkowski (Witkowski), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Witkowski 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 $100,000.00 on November 14, 2025.

Claimant generally alleges over-concentration, misrepresentation, suitability, and breach of fiduciary duty.

Broker Michael Graham in LPL Financial LLC Firm Has Customer Complaint

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Graham (Graham), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graham 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 $375,000.00 on November 19, 2025.

10/01/2022 – Present Advisor fraudulently offered a short term loan note with 150% return

There are Recent Customer Complaints with Broker David Griffith in Firm Lifemark Securities Corp.

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Griffith (Griffith), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Griffith 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 $475,000.00 on November 19, 2025.

Allegations pertain to investments in alternative products intended to be a small component of a larger diversified portfolio. Investments were purchased from 03/2017 to 01/2021. Unfortunately, the company that issued one of the investments has since filed Chapter 11 bankruptcy. As a result, the client is alleging failure to perform due diligence, unsuitable recommendation, breach of contract/ fiduciary duty, and negligence.

Broker William Burks in Centaurus Financial, INC. Firm Has Customer Complaint

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Burks (Burks), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Burks 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 $80,000.00 on November 24, 2025.

The customer alleges that the Registered Representative recommended a speculative, illiquid investment. No specific dates for the alleged activity were identified in the Statement of Claim.