Securities Lawyers Blog

There are Recent Customer Complaints with Broker Roderick Gosa in Firm Ameriprise Financial Services, LLC

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Gosa (Gosa), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gosa 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 $18,000.00 on March 31, 2026.

The client alleged that the advisor opened an Ameriprise ONE margin account without their knowledge in May of 1999.

Broker James Martin 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 James Martin (Martin), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $303,600.00 on April 02, 2026.

Client’s attorney alleged, inter alia, that the fa solicited a personal loan of $303600 from the client in December 2020 which he has refused to repay unless the client grants him a broad release

Broker John Lamont in David Lerner Associates, INC. Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lamont (Lamont), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lamont 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 April 09, 2026.

Unsuitability, misrepresentation/omission Allegation period: 10/23/2015 the date of the first purchase of Energy 11 to April 9, 2026 the date the SOC was received.

Broker Dylan Allen in Edward Jones Firm Has Customer Complaint

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dylan Allen (Allen), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Allen 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 $14,350.00 on April 10, 2026.

The client alleges the financial advisor did not provide clear or meaningful explanation of the tax implications and did not verify cost basis information prior to the liquidation of mutual funds.

There are Recent Customer Complaints with Broker Shane Desherlia in Firm Berthel, Fisher & Company Financial Services, INC.

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Desherlia (Desherlia), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Desherlia 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 April 13, 2026.

Suitability/negligence. 2020-2021

There are Recent Customer Complaints with Broker Brad Katzer in Firm Equitable Advisors, LLC

May 12, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Brad Katzer (Katzer), currently associated with Equitable Advisors, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Katzer concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on April 10, 2026.

Client alleges the RR engaged in excessive trading, misrepresented fees, and made unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Christopher Gardner in Firm Signature Estate Securities, LLC

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Gardner (Gardner), currently associated with Signature Estate Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gardner 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 $4,000,000.00 on April 13, 2026.

Allegations of breach of fiduciary duty.

There are Recent Customer Complaints with Broker Ryan Finch in Firm Emerson Equity LLC

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Finch (Finch), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Finch 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 $676,000.00 on April 16, 2026.

Breach of fiduciary duty, constructive fraud, negligence and negligence per se, Violations of the Colorado Securities Act, breach of contract. Investments made between 2021 – 2025

There are Recent Customer Complaints with Broker Eric Johnson in Firm LPL Financial LLC

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Johnson (Johnson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $1,648,579.20 on April 13, 2026.

The estate alleges that the registered representative changed the beneficiaries without permission.

There are Recent Customer Complaints with Broker Chad Stranlund in Firm Equitable Advisors, LLC

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Stranlund (Stranlund), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stranlund 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 21, 2026.

Client alleges RR failed to disclose costs associated with a VUL policy purchased in 2025.