Securities Lawyers Blog

There are Recent Customer Complaints with Broker Norman Dsilva in Firm PFS Investments INC.

February 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Dsilva (Dsilva), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Dsilva 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 December 15, 2025.

The Statement of Claim alleges that Mr. D’Silva failed to protect an elderly client from financial exploitation.

There are Recent Customer Complaints with Broker Kevin Canfield in Firm MML Investors Services, LLC

February 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 12, 2025.

Beginning in or around 2011, the Claimants allege that the rep failed to advise the owner to activate the GMIB rider on his VA, in which the Respondent had placed all of his retirement savings. As a result, the owner unknowingly lost the right to receive a guaranteed annual income of at least $30,000. Instead, the rep advised the owner to close the VA and open a money market, which has a depleting value.

Broker Robert Obraitis in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

February 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Obraitis (Obraitis), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Obraitis 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 December 15, 2025.

Client alleges the RR made misrepresentations in connection with a VUL policy purchased in 2023 which was not suitable for his needs.

There are Recent Customer Complaints with Broker Ronald Naegle in Firm LPL Financial LLC

February 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Naegle (Naegle), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Naegle 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 December 16, 2025.

Customer alleges that the representative took investments for his own use and converted them to property owned by him.

Broker Paul Fleming in LPL Financial LLC Firm Has Customer Complaint

February 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Fleming (Fleming), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fleming 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 $200,000.00 on December 15, 2025.

Claimants allege unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Ronald Cole in Firm Emerson Equity LLC

February 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 16, 2025.

Suitability

There are Recent Customer Complaints with Broker Douglas Davis in Firm Wells Fargo Advisors Financial Network, LLC

February 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 12, 2025.

The client complains that instructions given several years ago regarding not selling a holding in a managed portfolio were not followed, such that the securities were sold at a profit, resulting in capital gains. The client seeks reversal of the liquidations. (9/8/2020 – 12/12/2025)

There are Recent Customer Complaints with Broker Mitchell Stillman in Firm Wells Fargo Clearing Services, LLC

February 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 15, 2025.

Claimant alleges that beginning in June 2021, the FA failed meet the objectives of the Claimant.

There are Recent Customer Complaints with Broker Paul Getty in Firm Emerson Equity LLC

February 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 16, 2025.

Suitability

There are Recent Customer Complaints with Broker Joshua Chapin in Firm Emerson Equity LLC

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Chapin (Chapin), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chapin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 18, 2025.

Breach of contract and warranties, promissory estoppel; violation of securities statutes; breach of fiduciary duty; claims under common law; vicarious liability; violation of Regulation Best Interest;