Securities Lawyers Blog

There are Recent Customer Complaints with Broker William Lefkowitz in Firm Aegis Capital Corp.

June 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Lefkowitz (Lefkowitz), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Lefkowitz 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 May 22, 2026.

Claimant alleges his account was churned and that the broker blocked a distribution from his trust account.

Broker Nina Palmer in Vanguard Marketing Corporation Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 07, 2020.

Client alleged she specifically told the advisor she needed the distribution from her ira to be for the 2019 tax year but the distribution did not occur until January 2, 2020, which cost her thousands of dollars. The activity occurred between December 19, 2019, through January 2, 2020.

There are Recent Customer Complaints with Broker Erik Teig in Firm Thrivent Investment Management INC.

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Teig (Teig), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Teig 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 $52,000.00 on April 03, 2020.

Customer alleged VUL purchased in August 2018 was not issued as requested.

Broker Angel Barnes in PFS Investments INC. Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angel Barnes (Barnes), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Barnes 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 $40,000.00 on April 07, 2020.

Customer alleges that his purchase of mutual funds in 2017 was not suitable

There are Recent Customer Complaints with Broker James Hauser in Firm Edward Jones

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hauser (Hauser), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hauser 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 $25,270.00 on April 06, 2020.

Client alleges the liquidation of her variable annuity in 2019 was not suitable.

Broker James Barrett in J.P. Morgan Securities LLC Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Barrett (Barrett), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barrett 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 $19,587.00 on April 06, 2020.

Client alleges misrepresentation regarding variable annuity investment. Activity dates 02/24/2020- 03/27/2020.

There are Recent Customer Complaints with Broker Jeff Kramer in Firm Morgan Stanley

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeff Kramer (Kramer), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Kramer 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 $300,000.00 on April 07, 2020.

Attorney alleged, inter alia, excessive trading with respect to investments in account – January 2018 thru December 2019

Broker Craig Tomasek in Edward Jones Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

The client alleges that the Financial Advisor failed to move to cash in their individual account as requested but rather moved them to a bond fund and that he placed trades on 3/12 not 3/9.

Broker David Krumrey in Oppenheimer & CO. INC. Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Krumrey (Krumrey), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Krumrey 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 $300,000.00 on April 02, 2020.

Claimants allege claims for breach of fiduciary duty, negligence and breach of contract in connection with the management of their account.From 1/1/2016 – 12/31/2017

Broker Sean Grubb in Northwest Investment Advisors, INC. Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 06, 2020.

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