Securities Lawyers Blog

Broker Jason Lowther in Concorde Investment Services, LLC Firm Has Customer Complaint

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Lowther (Lowther), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lowther 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 January 30, 2026.

Customer alleges the representative did not act in the best interest of the retail customer when recommending investment to the customer in June 2020.

Broker Earl Newsome in LPL Financial LLC Firm Has Customer Complaint

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Earl Newsome (Newsome), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Newsome 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 $499,000.00 on January 30, 2026.

The customers allege that their investment in two (2) indexed universal life insurance policies in 2016 was poorly designed and unsuitable for their financial circumstances.

Broker Kevin Kelly in Cetera Wealth Services, LLC Firm Has Customer Complaint

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kelly (Kelly), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kelly 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 $250,000.00 on February 02, 2026.

Customer alleges the investments they purchased were not suitable

There are Recent Customer Complaints with Broker John Egan in Firm Western International Securities, INC.

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Egan (Egan), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 January 30, 2026.

Customer alleges the representative did not act in the best interest of the retail custoner when recommendinginvestment to the customer in February 2018

There are Recent Customer Complaints with Broker Carmen Morrone in Firm Realta Equities, INC.

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carmen Morrone (Morrone), currently associated with Realta Equities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Morrone 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 $237,816.53 on January 30, 2026.

Claimant alleges failure of due diligence and disclosure.

Broker Richard Kersting in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Kersting (Kersting), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kersting 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 February 02, 2026.

Claimants allege that Respondents recommended an aggressive investment strategy incompatible with their investment profile.

There are Recent Customer Complaints with Broker Ramon Almonte in Firm UBS Financial Services INC.

April 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 02, 2026.

Time Frame: February 17th, 2012 \\u2013 November 28th, 2025\, \, What were the allegations against the individual? The client\\u2019s Attorney alleges the Financial Advisor misrepresented the investment by stating the fund was a safe investment, that it will provide stable returns, and invest in diversified assets. The client\\u2019s Attorney further alleges that the investment in the fund was not suitable for his financial objectives and risk tolerance and not in his best interest. The alleged damages are estimated to be in excess of $5,000.00.\,

There are Recent Customer Complaints with Broker Todd Kennedy in Firm the Oak Ridge Financial Services Group, INC.

April 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 03, 2026.

The Statement of Claim filed does not list a specific date range when the alleged events occurred, simply that it happened over the course of the respondent’s time at HJ Sims, which was May 2011 to September 2024. Claimant is alleging Todd Kennedy and HJ Sims of unsuitable recommendations, breach of fiduciary duty, negligence, and failure to supervise.

Broker Timothy Darnell in Bankers Life Securities, INC. Firm Has Customer Complaint

April 6, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Timothy Darnell (Darnell) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Darnell was employed by Bankers Life Securities, INC. at the time of the activity. If you have been a victim of Darnell’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $575,000.00 on February 04, 2026.

The arbitration alleges the RR made unsuitable recommendations, alleges breach of fiduciary duty, negligence, misrepresentation, and selling away related to an alleged Ponzi scheme with First Liberty Building & Loan, LLC.

There are Recent Customer Complaints with Broker David Chapin in Firm Morgan Stanley

April 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Chapin (Chapin), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, 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 February 04, 2026.

Claimant alleges unauthorized liquidation with respect to mutual fund positions – Nov 2025 to Dec 2025