Securities Lawyers Blog

There are Recent Customer Complaints with Broker Paris Lewis in Firm Nylife Securities LLC

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paris Lewis (Lewis), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lewis 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 $150,000.00 on September 10, 2024.

The claimant alleges that beginning in 2019, there were withdrawals from her variable annuity without her knowledge and consent. The claim seeks compensatory damages of approximately $150,000, plus interest, fees, costs, and other damages

There are Recent Customer Complaints with Broker Heath Goldstein in Firm Western International Securities, Inc.

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heath Goldstein (Goldstein), previously associated with Western International Securities, Inc., has at least 7 disclosable events. These events include 7 customer complaints, alleging that Goldstein 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 $40,000.00 on September 11, 2024.

1.) Investment recommendation in GWG L Bonds was unsuitable and misleading\, 2.) Breach of written contract\, 3.) Breach of fiduciary duty to act in best interest\, 4.) Failure to supervise\, 5;) misrepresentatives & omission\, 6.) Negligence and gross negligence\, 7.) Violation of federal securities laws\, 8.) Violation of FINRA Rules\, 9.) Violation of Pennsylvania Securities Act of 1072\, 10.) Violation of regulation best interest

There are Recent Customer Complaints with Broker David Cross in Firm Calton & Associates, Inc.

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Cross (Cross), previously associated with Calton & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Cross 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 $16,835.00 on September 10, 2024.

Client was unhappy with the performance of her accounts.

There are Recent Customer Complaints with Broker Jeffrey Noard in Firm Emerson Equity LLC

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Noard (Noard), previously associated with Emerson Equity LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Noard 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 $3,900,000.00 on September 11, 2024.

Claimants allege material misrepresentation and omissions, failure to conduct reasonable due diligence, violation of The 1934 SEC Act, FINRA Rule 3111, negligence and gross negligence, violation of The Wisconsin Securities Act, and violation of Regulation Best Interest with regard to the various purchases of GWG L-Bonds from

There are Recent Customer Complaints with Broker Tracy Longstreet in Firm UBS Financial Services Inc.

March 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 11, 2024.

Without admitting or denying the findings, Longstreet consented to the sanction and to the entry of findings that she refused to provide documents and information requested by FINRA in connection with its investigation initiated based upon an arbitration filing. The findings stated that the Longstreet’s former member firm submitted an amended Form U5 disclosing that a customer had filed an arbitration against it alleging misconduct involving his accounts and that his Individual Retirement Account (IRA) beneficiaries were improperly changed to personally benefit Longstreet’s family and/or friends.

Broker Peter Goffin in Newbridge Securities Corporation Firm Has Customer Complaint

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Goffin (Goffin), previously associated with Newbridge Securities Corporation, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Goffin 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 $100,000.00 on September 11, 2024.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE AND NEGLIGENCE, VIOLATION OF REG BI.

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

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Dulac (Dulac), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Dulac 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 $215,000.00 on September 10, 2024.

Breach of fiduciary duty, suitability and breach of contract.

Broker Carl Gill in United Planners’ Financial Services of America A Limited Partner Firm Has Customer Complaint

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Gill (Gill), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Gill 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 $215,000.00 on September 10, 2024.

Breach of fiduciary duty, suitability and breach of contract.

Broker Jeremy Slone in Mwa Financial Services Inc. Firm Has Customer Complaint

March 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Slone (Slone), currently associated with Mwa Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Slone 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 $34,000.00 on September 16, 2024.

Consumer alleges they and their spouse purchased a life insurance policy in 1988. Consumer alleges in the following years they were told the annual premium for the life insurance would be paid from the cash value of the insurance policy, so consumer assumed they did not need to make additional premium payments. The consumer stopped making additional premium payments in or around 1994. Consumer’s spouse passed away in August 2023. Upon calling to make a claim, consumer alleges they found out the policy had been cancelled for failing to pay premiums. Consumer alleges they were not notified of the policy’s cancellation. Consumer is alleging breach of contract, common law bad faith, statutory bad faith, engaging in unfair trade practices, negligence and fraud through statements and assertions.

Broker Bowman Nicholson in Capital Investment Group, Inc. Firm Has Customer Complaint

March 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bowman Nicholson (Nicholson), currently associated with Capital Investment Group, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Nicholson 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 September 12, 2024.

GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. Complaint alleges breach of contract and warranties, violation of state securities statutes, breach of fiduciary duty, claims under common law, and vicarious liability related to an investment in GWG L-Bonds.