Securities Lawyers Blog

Broker Samuel Lek in Lek Securities Corporation Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Lek (Lek), previously associated with Lek Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Lek 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 $2,804,880.05 on June 12, 2020.

Samuel Lek was named as a respondent in an arbitration against Lek Securities Corp and its employees alleging possible violations of several FINRA rules by the Firm including Rule 2010, 5310, 2150, 3110 from October 2018 to April 2019.

Broker Mary Ella Autry in PFS Investments INC. Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 09, 2020.

Customer alleged that i failed to follow his instructions regarding a reallocation in his account.

Broker William Riley in Silver Oak Securities, Incorporated Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Riley (Riley), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Riley 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 $140,863.40 on June 15, 2020.

Unsuitable investments, demanding payment of $140,863.40 for the loss and attorney’s fees.

Broker Gordon Roberts in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

The client alleges the representative made a series of recommendations of illiquid, high-commission investments from 2009-2013 which were unsuitable and resulted in over-concentration in these products in their portfolio. In addition the client alleges the firm failed to conduct adequate due diligence relating to United Development Funding and was negligent.

Broker Mark Robare in Osaic Wealth, INC. Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 09, 2020.

Claimants allege an unsuitable investment strategy between 2013-2015.

Broker David I. Obolensky in UBS Financial Services INC. Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

Time Frame: April 23, 2020 to June 08, 2020 \<char_lb_r>\, The client alleges a failure to invest her accounts in a timely manner. The alleged damages are in excess of $5,000.00

Broker William Simmons in Ingalls & Snyder, LLC Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

Poor performance with particular focus on the first quarter of 2020. Customer also alleged failure to communicate on a timely basis, failure to follow instructions and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Dewey Moore in Firm Commerce Street Capital, LLC

May 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dewey Moore (Moore), previously associated with Commerce Street Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 $1,000,000.00 on June 13, 2020.

Negligence

Broker William Richardson in Cetera Wealth Services, LLC Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

Currently financial advisor William Richardson (Richardson), currently employed by brokerage firm Cetera Wealth Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint on June 09, 2020.

Approximately 4-7 years after electing to invest in REITs and BDCs, Claimant (a retired lawyer) now alleges that the investments were unsuitable.

There are Recent Customer Complaints with Broker Kaley Mora in Firm Edward Jones

May 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 17, 2020.

The client alleges the FA was mistaken when she advised that the transaction requested would be complete in one day where the transaction did not complete for 2 full business days causing market loss for the additional day.