Securities Lawyers Blog

Broker David Monheit in Cetera Wealth Services, LLC Firm Has Customer Complaint

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Monheit (Monheit), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Monheit 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 $112,766.00 on February 06, 2026.

Client alleged the representative misappropriated her non-qualified cash that was deposited into her discretionary fee-based managed wrap account by investing the cash into the market in September2021 without her authorization. On October 4, 2022, an additional allegation was received alleging the investments were not suitable.

There are Recent Customer Complaints with Broker Russell Stout in Firm Osaic Wealth, INC.

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Stout (Stout), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stout 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 February 10, 2026.

Client alleges financial professional failed to follow instructions and placed unauthorized trades in a discretionary account.

There are Recent Customer Complaints with Broker Candice Storm in Firm RBC Capital Markets, LLC

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Candice Storm (Storm), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Storm 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 $21,390.00 on February 06, 2026.

Alleged wrongdoing in distributing municipal bonds in less than whole lots to three beneficiaries of a TOD account after the death of the account holder

Broker Gregory Mcleod in Newbridge Securities Corporation Firm Has Customer Complaint

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Mcleod (Mcleod), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcleod 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 $177,000.00 on February 10, 2026.

Breach of contract, breach of fiduciary duty, failure to supervise, negligence, misrepresentations, violation of finra rules, violation of the state and federal securities laws.

There are Recent Customer Complaints with Broker Meen Rhu in Firm Equitable Advisors, LLC

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Meen Rhu (Rhu), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rhu 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 February 06, 2026.

Client alleges the RR executed transactions in their account without authorization.

There are Recent Customer Complaints with Broker Mark Yadron in Firm Kestra Investment Services, LLC

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Yadron (Yadron), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yadron 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 $200,000.00 on February 09, 2026.

The claimant alleges the representative misrepresented and recommended unsuitable annuities.

Broker James Whitson in Emerson Equity LLC Firm Has Customer Complaint

April 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 10, 2026.

Breach of contract; negligence; negligent misrepresentation; fraud; breach of fiduciary duty; violations of California Corporations Code; violations of the Securities Exchange Act; violations of the California unfair competition law. Trades placed between 2016 and 2017

There are Recent Customer Complaints with Broker William Carlton in Firm Aegis Capital Corp.

April 5, 2026 | by Staff Attorney

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

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

Time frame: Unspecified. The client alleges unsuitable investments and unauthorized trading.

Broker Joseph Rogers in Spartan Capital Securities, LLC Firm Has Customer Complaint

April 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Rogers (Rogers), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rogers 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 $490,000.00 on February 12, 2026.

Alleged allegation; Excessive Trading, Unsuitable Investment Recommendations, Violation of Reg BI

Broker Mark Brucato in J.P. Morgan Securities LLC Firm Has Customer Complaint

April 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 17, 2026.

Customer alleges unsuitable investment recommendations and misrepresentation regarding managed account investment. Activity dates March 2023 – April 2024.