Securities Lawyers Blog

Broker Bruce Godke in Mutual Securities, INC. Firm Has Customer Complaint

August 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Godke (Godke), previously associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Godke 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 $200,000.00 on March 10, 2020.

Alleged violation of Kansas Uniform Securities Act for prohibited conduct in providing investment advice.

Broker James Byrne in Stoever, Glass & Company INC. Firm Has Customer Complaint

August 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Byrne (Byrne), previously associated with Stoever, Glass & Company INC., has at least one disclosable event. These events include one customer complaint, alleging that Byrne 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 $50,000.00 on March 11, 2020.

2016 -2019 client alleges that she was sold energy bonds that were not aligned with her objectives

Broker Margarita Figueroa in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

August 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Margarita Figueroa (Figueroa), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Figueroa 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 $2,000,000.00 on March 09, 2020.

The customer alleges unsuitable investment recommendations and misrepresentations.

There are Recent Customer Complaints with Broker Gary Edkins in Firm LPL Enterprise, LLC

August 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 10, 2020.

Customer complaint was not previously disclosed on the Front end because it did not meet the firms criteria for re-portability. Currently being disclosed because of Settlement amount of $47,829.30.

Broker James Tracy Stines in Morgan Stanley Firm Has Customer Complaint

August 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Tracy Stines (Stines), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Stines 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 $15,200.00 on March 11, 2020.

The client alleged the FA did not follow his instructions to liquidate a mutual fund.

There are Recent Customer Complaints with Broker Ronald Strasburg in Firm Lincoln Financial Securities Corporation

August 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 11, 2020.

Client alleges the RR presented a strategy of oil and gas investments that was too risky

Broker Steven Fairchild in LPL Financial LLC Firm Has Customer Complaint

August 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Fairchild (Fairchild), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fairchild 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 $211,005.00 on March 09, 2020.

Claimant alleges unsuitable investment.

There are Recent Customer Complaints with Broker Earl Walter in Firm RBC Capital Markets, LLC

August 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 12, 2020.

Client claimed that their financial advisor placed a full portfolio allocation without authorization in joint account.

Broker Cody Greene in Nylife Securities LLC Firm Has Customer Complaint

August 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 24, 2020.

Customers allege the Variable Annuity policy they each purchased in February 2020 were initially understood to allow for a larger monthly contribution that would meet the $5,000 minimum annual contribution while providing for a lower annual fee and a 7 year surrender charge period. They were later informed that the specific Variable Annuity they purchased does not allow for monthly contributions and that the surrender charge period would reset with each additional contribution therefore the customers are looking to reverse the purchase of these policies.

There are Recent Customer Complaints with Broker Benjamin Blake in Firm Edward Jones

August 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Blake (Blake), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Blake 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 $3,356.59 on April 21, 2020.

The client alleges the financial advisor placed unauthorized trades.