Securities Lawyers Blog

Broker Maureen Bobilya in Park Avenue Securities LLC Firm Has Customer Complaint

April 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 20, 2025.

The customer alleges that the premium payments for whole life insurance policies for other policy owners were taken from her bank account without her authorization in April 2023.

Broker Kendal Fordham in Raymond James Financial Services, INC. Firm Has Customer Complaint

April 16, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Kendal Fordham (Fordham), previously employed by Raymond James Financial Services, INC. 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), Fordham’s most recent customer complaint alleges that Fordham 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 $50,000.00 on February 20, 2025.

Plaintiff alleges recommendation of unsuitable structured products and overconcentration of same due to losses from Client’s decision to liquidate notes prior to maturity

Broker David Corry in Edward Jones Firm Has Customer Complaint

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Corry (Corry), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Corry 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 $5,220.00 on February 21, 2025.

Client alleges the financial advisor sold his Tesla shares without his authorization.

Broker Christopher Kirkland in Avantax Investment Services, INC. Firm Has Customer Complaint

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kirkland (Kirkland), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kirkland 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 $52,500.00 on February 20, 2025.

The client’s attorney alleges that both advisor’s recommended an unsuitable invesment with Northstar Healthcare Income,Inc (REIT) in the amount of $50k. Damages request is for $50k and $2500 in attorney’s fees. \, Suitability of purchase 11/2014

Broker Katy Zhao in Morgan Stanley Firm Has Customer Complaint

April 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 21, 2025.

Client verbally alleged that their instructions to transfer the positions in their account in kind to the contra firm were not followed 2025

There are Recent Customer Complaints with Broker Matt Heintz in Firm Pnc Investments

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matt Heintz (Heintz), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Heintz 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 $13,627.00 on February 19, 2025.

Customer alleges advisor did not provide correct advice regarding qualified chartable distributions.

There are Recent Customer Complaints with Broker Robert Morgan in Firm Wells Fargo Clearing Services, LLC

April 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 17, 2025.

Plaintiffs allege that from 2022-2023, the FA failed to protect the Plaintiff by permitting the withdrawal of funds without determining why the funds were being withdrawn or if the Plaintiff was competent or acting under duress.

There are Recent Customer Complaints with Broker William Tremont in Firm RBC Capital Markets, LLC

April 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 20, 2025.

The client alleged the financial advisor modified his accounts without his knowledge or approval.

There are Recent Customer Complaints with Broker John Russo in Firm Dominari Securities LLC

April 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 20, 2025.

Time Frame: Unspecified. Claimant alleges unsuitable investments.

There are Recent Customer Complaints with Broker Ryan Mcclelland in Firm J.w. Cole Financial, INC.

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Mcclelland (Mcclelland), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcclelland 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 $50,000.00 on February 19, 2025.

Customer alleged that the investment advisor representative did not execute a trade and as a result the customer was unable to participate in market gains.