Securities Lawyers Blog

Broker John Massa in Cetera Investment Services LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 07, 2021.

Claimant alleges that their registered representative recommended unsuitable investments.

There are Recent Customer Complaints with Broker Lyndon Grey in Firm LPL Financial LLC

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lyndon Grey (Grey), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grey 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 $100,001.00 on July 06, 2021.

Unsuitability

There are Recent Customer Complaints with Broker Brian Kazinec in Firm LPL Enterprise, LLC

February 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 12, 2021.

Customer Alleges defalcation as it relates to loans taken out from a joint policy.

Broker Joan Marron in Morgan Stanley & CO. LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 12, 2021.

Plaintiff alleges, inter alia, breach of duty and bad faith in connection with its investment banking relationship with Morgan Stanley. 2018-2020.

There are Recent Customer Complaints with Broker Alan Rodriguez in Firm American Trust Investment Services, INC.

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Rodriguez (Rodriguez), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 10, 2021.

Breach of fiduciary duty; Breach of Contract and Negligence; Failure to Supervise

Broker Vincent Mangone in Worden Capital Management LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Vincent Mangone (Mangone), previously associated with Worden Capital Management LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Mangone concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $330,113.00 on July 08, 2021.

Churning and quantitative unsuitability; unauthorized trading; standards of commercial honor and principles of trade; and, breach of fiduciary contract. Alleged activity dates are December 2016 through late 2020, although only activity from October 2017 forward was margin sellouts.

Broker Oliver Owens in UBS Financial Services INC. Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Oliver Owens (Owens), currently employed by UBS Financial Services INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Owens’s most recent customer complaint alleges that Owens recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $2,621,498.00 on July 07, 2021.

Time frame: 15-Jan-2009 to 07-Jul-2021\, Allegations: Claimant alleges that UBS recommended unsuitable investments of Structured Investment Products in Claimant’s account. Claimant alleges that UBS misrepresented and failed to disclose material facts concerning certain investments and the fees/commissions being charged. Claimant also alleges unauthorized trading.

Broker Richard Borgner in Worden Capital Management LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Borgner (Borgner), previously associated with Worden Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Borgner 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 $653,700.00 on July 07, 2021.

Failure to supervise and negligent supervision; August 2017 to December 2019.

There are Recent Customer Complaints with Broker Steven Meyer in Firm IBN Financial Services, INC.

February 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $67,000.00 on July 19, 2021.

Between June 2015 and July 2017, client alleges fraud, excessive trading, unauthorized trading, breach of fiduciary duty, unsuitable transactions, negligence and unjust enrichment.

Broker Jaime Westenbarger in Securities America, INC. Firm Has Customer Complaint

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jaime Westenbarger (Westenbarger), previously associated with Securities America, INC., has at least 5 disclosable events. These events include 3 customer complaints, 2 regulatory events, alleging that Westenbarger 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 $26,000.00 on July 20, 2021.

Claimant alleges their registered representative recommended unsuitable alternative investments.