Securities Lawyers Blog

There are Recent Customer Complaints with Broker Juan Pablo Benavides in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Pablo Benavides (Benavides), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Benavides recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 16, 2026.

Client alleges misrepresentation related to the return on investment account.

There are Recent Customer Complaints with Broker Jason Comer in Firm Charles Schwab & Co., INC.

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Comer (Comer), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Comer 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 $21,408.00 on March 16, 2026.

The client alleges in December 2025, the representative failed to follow instructions regarding executing transactions.

There are Recent Customer Complaints with Broker Shay Scruggs in Firm Rockefeller Financial LLC

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shay Scruggs (Scruggs), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Scruggs 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 $1,000,000.00 on March 16, 2026.

Customer alleges representative recommended certain alternatives investments that were not consistent with customer’s investment profile.

Broker Mark Woodward in Kestra Investment Services, LLC Firm Has Customer Complaint

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Woodward (Woodward), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Woodward 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 $5,000.00 on March 16, 2026.

Claimants allege the FP recommended unsuitable alternative investments.

There are Recent Customer Complaints with Broker Timothy Calvert in Firm First Citizens Investor Services, INC.

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Calvert (Calvert), currently associated with First Citizens Investor Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Calvert 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 $13,280.00 on March 13, 2026.

Client alleges registered representative misrepresented tax implications, specifically regarding capital gains. Activity dates 08/2021-11/2021.

There are Recent Customer Complaints with Broker Michael Kolacz in Firm Independent Financial Group, LLC

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kolacz (Kolacz), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kolacz 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 16, 2026.

Claimaint alleges unsuitable $40,000 investment into gwg holdings in October 2017.

There are Recent Customer Complaints with Broker Gary Liska in Firm Signature Estate Securities, LLC

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Liska (Liska), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Liska 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 March 16, 2026.

Allegations of unsuitability of options trading and failure to supervise.

There are Recent Customer Complaints with Broker Mark Herding in Firm Harbour Investments, INC.

May 17, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Mark Herding (Herding), currently associated with Harbour Investments, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Herding 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.

Broker Markus Byrd in Kestra Investment Services, LLC Firm Has Customer Complaint

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Markus Byrd (Byrd), previously associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Byrd 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 $5,000.00 on March 16, 2026.

Claimant alleges the FP recommended unsuitable alternative investments.

There are Recent Customer Complaints with Broker John Freiburger in Firm Kestra Investment Services, LLC

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Freiburger (Freiburger), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Freiburger 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 $5,000.00 on March 16, 2026.

Claimant alleges the FP recommended unsuitable alternative investments.