Securities Lawyers Blog

Broker Erik Moreau in Vanderbilt Securities, LLC Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 16, 2020.

The client states that she had an in-person meeting with the representative on December 18th, 2019 where a request was discussed and finalized to reallocate all assets in her two accounts to 75% money market and 25% equities. The client further states that she left the meeting satisfied with the changes and that there was no indication from the representative that he intended not to proceed per her directions. The client claims that she reviewed her accounts a week prior to the March 16 email and noticed that the changes were never made and wants a meeting with the escalation team to determine a path forward.

Broker Terry Anderson in First Allied Securities, INC. Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 17, 2020.

Client alleges that advisor failed to invest his money.

There are Recent Customer Complaints with Broker Duane Heiling in Firm Ameriprise Financial Services, LLC

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Duane Heiling (Heiling), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heiling 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 $12,000.00 on March 18, 2020.

The client alleged the advisor failed to follow instructions to liquidate mutual fund security positions in his account(s) in March 2020.

Broker Gary Vance in UBS Financial Services INC. Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Vance (Vance), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Vance 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 $8,081.23 on March 18, 2020.

Time Frame: March 6, 2020 to March 17, 2020 \<char_lb_r>\, The client alleges he was not informed he could lose money in his investment and that there was no risk.

There are Recent Customer Complaints with Broker Paul Curran in Firm Edward Jones

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Curran (Curran), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Curran 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 $108,500.00 on March 18, 2020.

Plaintiff filed a claim against her daughter-in-law, son, and Edward Jones. Plaintiff alleges that Edward Jones mailed a check to her son and daughter-in-law’s residence at the direction of her son or daughter-in-law. Plaintiff alleges that she did not authorize the check nor intend this money to be paid to her son or daughter-in-law. Plaintiff alleges that Edward Jones mailed the check without her knowledge and consent breaching its contractual, regulatory and fiduciary duty.

There are Recent Customer Complaints with Broker Mark Ogren in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Ogren (Ogren), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ogren recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 17, 2020.

Through their Power of Attorney, the customer alleges unsuitable investment recommendations in 2008 and in 2015.

Broker Charles King in Raymond James & Associates, INC. Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles King (King), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that King 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 $800,000.00 on March 16, 2020.

Client alleges advisor misrepresented terms of a margin loan. Alleged Activity dates: 3/18/2010 – 4/28/2017.

Broker Manuel Escobar in Nationwide Planning Associates INC. Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manuel Escobar (Escobar), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Escobar 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 $4,000,000.00 on March 17, 2020.

Period 2011 to 4/2013. Allegations unsuitable and misleading advice concerning puerto rico bonds.

There are Recent Customer Complaints with Broker John Koorey in Firm Western International Securities, INC.

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Koorey (Koorey), previously associated with Western International Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Koorey 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 $180,000.00 on March 17, 2020.

Unsuitable Recommendations

Broker Stuart Sierer in UBS Financial Services INC. Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stuart Sierer (Sierer), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Sierer 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 $20,000.00 on March 18, 2020.

Time Frame: April 27, 2018 to March 18, 2018 \<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges unauthorized trading.