Securities Lawyers Blog

There are Recent Customer Complaints with Broker Robert Smith in Firm MML Investors Services, LLC

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Smith (Smith), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $35,000.00 on December 12, 2022.

The complainant states that the registered representative, misrepresented that he could borrow from the Variable Universal Life policy, which was issued on December 1, 1999, freely, without any risk of default, and could continue to borrow, while simultaneously reducing his monthly premium amounts, and because of these misrepresentations, purchased additional insurance policies.

Broker Donald Harrell in Morgan Stanley Firm Has Customer Complaint

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Harrell (Harrell), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Harrell 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 $135,170.00 on October 17, 2022.

TRUSTEE ALLEGES ALLOCATION AND INVESTMENT STRATEGY OF TRUST ACCOUNT WAS UNSUITABLE 202-2022

There are Recent Customer Complaints with Broker Andrew Gergatsoulis in Firm Aegis Capital Corp.

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Gergatsoulis (Gergatsoulis), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Gergatsoulis 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 $35,494.29 on October 14, 2022.

Breach of fiduciary duty, unsuitable investment strategy and recommendation

There are Recent Customer Complaints with Broker Martin Klein in Firm RBC Capital Markets, LLC

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Klein (Klein), currently associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Klein 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 $8,400,000.00 on October 14, 2022.

The clients alleged the advisor made unsuitable recommendations to purchase governmental agency bonds for his portfolio between September 2016 and June 2022, and misinformed him of their potential risk related to rising interest rates.

Broker Mark Rippeteau in RBC Capital Markets, LLC Firm Has Customer Complaint

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Rippeteau (Rippeteau), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rippeteau 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 $31,000.00 on October 17, 2022.

The client alleged his advisor failed to follow sell trading instructions in March 2022.

There are Recent Customer Complaints with Broker Ryan Pramberg in Firm Thrivent Investment Management INC.

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Pramberg (Pramberg), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Pramberg 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 $5,278.00 on April 04, 2025.

Client alleged the recommendation to surrender her variable annuity and move the funds into a managed account in September of 2024 did not meet her needs.

Broker Sam Walton in Equitable Advisors, LLC Firm Has Customer Complaint

November 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 13, 2022.

Client alleged RR misled them on their options for an internal variable policy exchange in 2022.

Broker Drake Medeiros in Raymond James Financial Services, INC. Firm Has Customer Complaint

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drake Medeiros (Medeiros), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Medeiros 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 $25,000.00 on July 15, 2024.

The client alleged the advisor opened the incorrect account type that was not in their best interest.

Broker Kaysi Fitzpatrick in Nylife Securities LLC Firm Has Customer Complaint

November 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 24, 2024.

The Customer alleges he was misled regarding fees when he purchased a variable universal life insurance policy in January 2024.

There are Recent Customer Complaints with Broker Tyler Gugliuzza in Firm Edward Jones

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Gugliuzza (Gugliuzza), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Gugliuzza 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 $110,000.00 on December 13, 2022.

Claimant asserts various claims alleging Edward Jones failed to follow Claimant’s directions to move into more conservative investments in early 2022.