Securities Lawyers Blog

Broker Hui Zhang in Independent Financial Group, LLC Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 06, 2026.

Clients allege the product was unsuitable.

Broker Kevin Birkner in Morgan Stanley Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Birkner (Birkner), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Birkner 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 $1,439,541.00 on April 09, 2026.

Claimant alleged, inter alia, misrepresentation with respect to investment recommendations- 2024 to 2025

Broker Daniel Goodwin in Great Point Capital LLC Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Goodwin (Goodwin), currently associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Goodwin 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 $186,756.35 on April 06, 2026.

Client claims investment recommendation was unsuitable in view of his financial situation, investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Matthew Fetui in Firm Wells Fargo Clearing Services, LLC

May 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 09, 2026.

Claimant alleges that in August 2024 the FA made unsuitable investments.

There are Recent Customer Complaints with Broker Scott Lauritzen in Firm Wells Fargo Clearing Services, LLC

May 13, 2026 | by Staff Attorney

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

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

Plaintiff alleges that the FA failed to follow instructions to transfer monies from a brokerage account.

There are Recent Customer Complaints with Broker Thomas Kroehle in Firm Osaic Wealth, INC.

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kroehle (Kroehle), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kroehle 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 April 02, 2026.

Claimants allege the FP recommended unsuitable alternative investments.

There are Recent Customer Complaints with Broker Tony Barouti in Firm Emerson Equity LLC

May 13, 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 2 disclosable events. These events include 2 customer complaints, 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 April 02, 2026.

Breach of fiduciary duty, negligence and negligent misrepresentation, breach of contract, overconcentration (negligence and breach of fiduciary duty), violation of Regulation Best Interest. Investments purchased between 2019 and 2020

There are Recent Customer Complaints with Broker Mark Atchity in Firm Jcc Capital Markets, LLC / Cabin Securities, INC.

May 13, 2026 | by Staff Attorney

Currently financial advisor Mark Atchity (Atchity), currently employed by brokerage firm Jcc Capital Markets, LLC / Cabin Securities, INC. 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 pending customer complaint with a damage request of $3,500,000.00 on April 07, 2026.

Atchity was the named respondent of customer complaint regarding a reg D private placement. The complaint against his member asserted the following causes of action, fraud, misrepresentation, omissions of material facts, unsuitable recommendations, breach of contract, breach of fiduciary duty and failure to supervise.

Broker Michael Siek in Dominari Securities LLC Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 31, 2026.

The claimants allege unsuitable investments, breach of fiduciary duty, negligent supervision, violation of Regulation Best Interest

There are Recent Customer Complaints with Broker Ralph Jackson in Firm Morgan Stanley

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Jackson (Jackson), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 $6,272,362.00 on March 31, 2026.

Client’s attorney alleges, inter alia, that the trading implemented in the client’s account was excessive and unsuitable 2021-2025