Securities Lawyers Blog

Broker Larry Wilson in Raymond James Financial Services, INC. Firm Has Customer Complaint

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 21, 2026.

Plaintiff makes unarticulated and incoherent generalized allegations of \\u201cbreach of fiduciary duty\\u201d without any factual information to explain what she is referring to.

Broker Laura Fortenberry in Nylife Securities LLC Firm Has Customer Complaint

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 20, 2026.

The customer alleges she was misled when she purchased two variable universal insurance policies for her children in May 2023 and that they did not meet her stated goals and need for cash flow. The customer requests the return of principal without surrender charges.

There are Recent Customer Complaints with Broker Aaron Sevigny in Firm United Planners’ Financial Services of America A Limited Partner

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Sevigny (Sevigny), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sevigny 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 $2,000,000.00 on January 20, 2026.

Violation of Section 10(b) of the Exchange Act and Rule 10b-5, Section 20(a) Controlling Person Liability Under the Exchange Act, Violation of RICO, 18 U.S.C. \\u00a7 1962(c), RICO Conspiracy, 18 U.S.C. \\u00a7 1962(d), New Jersey Consumer Fraud Act, N.J.S.A. 56:8-1 et seq., Common-Law Fraud, Breach of Fiduciary Duty, Negligence, Aiding and Abetting Fraud and Breach of Fiduciary Duty.

There are Recent Customer Complaints with Broker Kevin Hunt in Firm Cambridge Investment Research, INC.

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Hunt (Hunt), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hunt 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 $564,717.51 on January 21, 2026.

Clients POA alleges the RR recommended an investment that was unsuitable given their stated financial profile. The POA also alleged that the contract was not signed in the correct state.

There are Recent Customer Complaints with Broker Frederick Sellers in Firm Edward Jones

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 26, 2026.

Claimant asserts various claims regarding the recommendation to purchase a variable annuity and whole life insurance policy.

Broker Keith Dagostino in Ef Hutton LLC Firm Has Customer Complaint

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 20, 2026.

Time frame: Unspecified. The claimant alleges unsuitable investments, breach of contract and breach of fiduciary duty.

Broker Kevin Dooley in Equitable Advisors, LLC Firm Has Customer Complaint

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 20, 2026.

Claimant alleges alternative investments purchased were unsuitable.

Broker Dinesh Saxena in MML Investors Services, LLC Firm Has Customer Complaint

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dinesh Saxena (Saxena), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Saxena 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 January 21, 2026.

The claimant alleges the variable annuity he purchased in February 2014 was mispresented and is unsuitable, highly risky, and speculative.

There are Recent Customer Complaints with Broker Thomas Higgins in Firm UBS Financial Services INC.

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 22, 2026.

Time Frame: April 19th, 2024\, \, What were the allegations against the individual? The client alleges their financial advisor did not act in their best interest as they did not warn them about the true tax consequences of their recommendation to sell their variable annuities.

Nicholas Palmieri Wells Fargo Broker Misconduct: What Investors Need to Know

April 8, 2026 | by Staff Attorney

We are actively investigating claims involving Nicholas Palmieri and are, to our knowledge, the only law firm currently representing investors who may have been harmed by his conduct. If you invested with Nicholas Palmieri at Wells Fargo or had accounts managed by him, it is critical that you act promptly to protect your rights and evaluate whether you have a viable claim.

Reports indicate that Nicholas Palmieri was terminated from Wells Fargo following allegations that raise serious concerns about the handling of client accounts, including attempted misuse of client funds, off-platform transactions, and other irregular activity. These types of allegations are among the most serious in the securities industry and often indicate deeper issues involving supervision failures and potential violations of FINRA rules.

If you were a client of Nicholas Palmieri, there are several warning signs you should carefully consider. These include unusual withdrawals or transfers, transactions you did not fully understand or approve, investments made outside of Wells Fargo, unexplained changes in account strategy, or recommendations that did not align with your financial goals or risk tolerance. Even if your account did not suffer a clear or immediate loss, misconduct may still have occurred, and you may still have a claim.