Securities Lawyers Blog

Broker Gabriel Lavigne in Morgan Stanley Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 22, 2025.

Client alleged, inter alia, that the purchase of an annuity did not align with her stated goals August 2025

There are Recent Customer Complaints with Broker Marc Koch in Firm Morgan Stanley

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Koch (Koch), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Koch 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 December 18, 2025.

Customer alleges unsuitable investment recommendation. Activity date July 2019 – July 2019.

Broker Patrick Lam in Emerson Equity LLC Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 19, 2025.

Suitability, trade done sometime around 2022

Broker Robert Annable in Realta Equities, INC. Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Annable (Annable), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Annable 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.

The claimants allege they were directly lied to and facts were misrepresented about investments.

Broker Michael Damon in Nylife Securities LLC Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 22, 2025.

Customer alleges the Variable Annuity policies she purchased beginning in October 2023 were not originally understood at the time of sale including the related fees, and also that her net worth was not accurately captured.

There are Recent Customer Complaints with Broker Christopher Russo in Firm Citigroup Global Markets INC.

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Russo (Russo), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Russo 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 $50,000.00 on December 22, 2025.

The client alleges that a 401K rollover into an IRA was not invested as instructed, including an additional step to effectuate the transaction. Client estimates financial losses of approximately $40,000 – $60,000 as $168,000 of the rollover remained in cash despite the client’s directive for a growth-oriented investment. Occurrence Date 12/22/25; Disputed Amount $50,000.

Broker Enrique Vila in Bulltick, LLC Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enrique Vila (Vila), currently associated with Bulltick, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vila 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.

Client alleges, inter alia, falure to follow instructions with respect to purchases of latam airlines shares in 2022

Broker Tony Barouti in Emerson Equity LLC Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 23, 2025.

Violations of federal securities laws; violations of California Securities Laws; California Unfair, Unlawful and fraudulent business practices; breach of contract; common law fraud; breach of fiduciary duty; negligence and gross negligence, investments purchases between 10/2021 and 11/2021

Broker Kenneth Mccabe in Centaurus Financial, INC. Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 22, 2025.

The customer alleges that on July 12, 2021, the Registered Representative recommended an unsuitable, high-risk, illiquid investment.

Broker Nicholas Stafford in Arkadios Capital Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 19, 2025.

Suitability