Securities Lawyers Blog

Broker Mario Renteria, in J.P. Morgan Securities LLC Firm Has Customer Complaint

December 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Renteria, (Renteria,), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Renteria, 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 $10,000.00 on February 01, 2022.

The client alleges the financial advisor failed to follow instructions and her account lost value.

Broker Feraas Suleyman in Fifth Third Securities, INC. Firm Has Customer Complaint

December 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Feraas Suleyman (Suleyman), currently associated with Fifth Third Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Suleyman 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 $7,000.00 on March 24, 2022.

Customer’s initial allegation of excess tax liabilities evolved into a suitability claim. The transaction at issue occurred on January 13, 2021.

There are Recent Customer Complaints with Broker Antonio Hernandez in Firm Nylife Securities LLC

December 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 07, 2022.

Customer alleges the Fixed Annuity policy she purchased in February 2021 contains a longer surrender charge period than was originally understood and the information represented on her Client Profile is not\, accurate.

Broker Kevin Houser in Ameriprise Financial Services, LLC Firm Has Customer Complaint

December 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Houser (Houser), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Houser 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 $244,000.00 on February 03, 2022.

Claimants allege that while they were at LPL, they were recommended the following unsuitable, speculative, high-risk investments: FSKR, FSEP, Cole Credit Property Trust IV and CIM Real Estate Finance Trust.

There are Recent Customer Complaints with Broker Curtis Krueger in Firm LPL Financial LLC

December 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2022.

Customer alleged unsuitable recommendations.

There are Recent Customer Complaints with Broker Hugh Dunn in Firm the Rockwell Financial Group, INC.

December 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $325,000.00 on February 08, 2022.

Alleges that Hugh Dunn charged inappropriate trades to speculative, aggressive short term growth portfolio. 2010-2021

There are Recent Customer Complaints with Broker Jeffrey Pacetti in Firm UBS Financial Services INC.

December 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Pacetti (Pacetti), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Pacetti 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 February 09, 2022.

Time Frame: July 08, 2021 to February 09, 2022\, \, Verbal allegations that the Financial Advisor recommended an investment that after purchase, did not meet the client’s expressed criteria which was ‘not to lose any money’. Additional allegations made that the FA stated this was a risk-free investment

Broker Hong Mcgill in LPL Financial LLC Firm Has Customer Complaint

December 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hong Mcgill (Mcgill), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcgill 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 $25,117.78 on March 23, 2022.

Customer complaint regarding poor recommendation of short term bond product and losses occurred.

There are Recent Customer Complaints with Broker Cynthia Cowden in Firm Npb Financial Group, LLC

December 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Cowden (Cowden), previously associated with Npb Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cowden 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 February 01, 2022.

Breach of Contract and Warranties, Promissory Estoppel. Violation of Securities Statutes, Brach of Fiduciary Duty; Claims under Common Law (intentional and negligent misrepresentation of material fact), Vicarious Liability

Broker Scott Syde in Independent Financial Group, LLC Firm Has Customer Complaint

December 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Syde (Syde), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Syde 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 March 23, 2022.

Allege that the representative was managing money in a Privately Managed Account that is not able to be located and, presumably was taken by the (now deceased) representative in question.