Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jimmy Lee in Firm LPL Financial LLC

May 18, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jimmy Lee (Lee), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lee’s most recent customer complaint alleges that Lee recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $140,000.00 on March 12, 2026.

Customers allege financial professional misrepresented investments in structured notes which were unsuitable.

Broker William Candler in Cabin Securities, INC. / Jcc Capital Markets, LLC Firm Has Customer Complaint

May 18, 2026 | by Staff Attorney

Currently financial advisor William Candler (Candler), currently employed by brokerage firm Cabin Securities, INC. / Jcc Capital Markets, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $205,000.00 on March 12, 2026.

Candler was the subject of the customer complaint regarding a reg D private placement. The customer purchased one DST investment in May of 2022. The complaint against his member asserted the following causes of action, fraud, misrepresentation, omissions of material facts, unsuitable recommendations, breach of contract, and breach of fiduciary duty.

There are Recent Customer Complaints with Broker William Tunink in Firm LPL Financial LLC

May 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Tunink recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 13, 2026.

Respondent Tunink failed to respond to FINRA requests for information.

Broker Brian Court in Aegis Capital Corp. Firm Has Customer Complaint

May 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 12, 2026.

Claimant alleges unsuitable investment.

Broker John Williams in Cambridge Investment Research, INC. Firm Has Customer Complaint

May 18, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Williams (Williams), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Williams 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 March 13, 2026.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

There are Recent Customer Complaints with Broker Michael Kaufman in Firm Cambridge Investment Research, INC.

May 18, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Kaufman (Kaufman), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Kaufman 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 March 13, 2026.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

There are Recent Customer Complaints with Broker Chuck Roberts in Firm Stifel, Nicolaus & Company, Incorporated

May 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roberts 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 March 12, 2026.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Florida Securities and Investor Protection Act.

Broker William Becker in Money Concepts Capital CORP Firm Has Customer Complaint

May 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Becker (Becker), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Becker 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 $88,671.00 on March 12, 2026.

Statement of Claim alleges RR failed to advise customer about the window of time she had to transfer her Defined Benefits which allegedly caused her to incur unanticipated tax liabilities.

Broker Troy Miller in LPL Financial LLC Firm Has Customer Complaint

May 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Miller (Miller), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $900,000.00 on March 12, 2026.

Customer alleges the representative failed to stop the Customer from withdrawing funds from his own accounts that the Customer then invested in an allegedly fraudulent scheme.

Broker Gregory Matthews in Morgan Stanley Firm Has Customer Complaint

May 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Matthews (Matthews), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Matthews recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Attorney for clients alleges that annuity investments recommended to clients were not in their best interests damages unspecified 2018