Securities Lawyers Blog

Broker William Moening in RBC Capital Markets, LLC Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 22, 2022.

Arbitration: Claimant alleges his FA made unsuitable and unauthorized investments in contrast with Claimant’s stated investment objectives and strategy. \, \, Complaint: Client complains that financial advisor represented that investments were conservative liquid instruments, whereas they lost significant value and were subject to a contingent deferred sales charge. (11/23/2020-7/5/2022)

Broker Brian Voss in LPL Financial LLC Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Voss (Voss), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Voss 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 $128,000.00 on December 23, 2022.

Claimant alleges that respondent recommended unsuitable investments.

There are Recent Customer Complaints with Broker Richard Oneal in Firm Osaic Wealth, INC.

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Oneal (Oneal), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Oneal 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 $30,000.00 on December 30, 2022.

Customer alleges that representative’s recommendation to redeem fixed annuity and invest in mutual funds was misrepresented and unsuitable.

Broker Jack Newhouse in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Newhouse (Newhouse), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Newhouse recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 27, 2022.

The client alleges misrepresentation and unsuitable investment recommendations related to a variable annuity purchase.

Broker Nancy Hecht in Fortune Financial Services, INC. Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Hecht (Hecht), currently associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hecht 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 $68,000.00 on December 19, 2022.

Failure to follow customers instructions for liquidation of securities on June 14, 2022.

There are Recent Customer Complaints with Broker Thad Bisselle in Firm Ameriprise Financial Services, LLC

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thad Bisselle (Bisselle), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bisselle 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 $35,000.00 on December 21, 2022.

CLAIMANT ALLEGES SHE WAS RECOMMENDED UNSUITABLE INVESTMENTS INToGWG L BONDS IN 2019

There are Recent Customer Complaints with Broker Hans Eveillard in Firm Alight Financial Solutions, LLC

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hans Eveillard (Eveillard), previously associated with Alight Financial Solutions, LLC, has at least 3 disclosable events. These events include 3 regulatory events, alleging that Eveillard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 30, 2022.

The findings stated that this matter originated from a customer complaint filed with FINRA [concerning a promissory note that Respondent facilitated, according to Respondent’s FINRA Central Registration Depository (CRD) #2198239]. Respondent refused to appear for this testimony, in violation of FINRA Rules 8210 and 2010

Broker Nicole Pizzi in Nylife Securities LLC Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 03, 2023.

Among other allegations, plaintiff alleges that in or about April 2019, he was persuaded to purchase what he was told was long term care coverage by taking a loan for $70,000. Plaintiff alleges he later learned that he purchased a New York Life insurance policy. Plaintiff also seeks a judgment in excess of $50,000 for alleged conversion of his property and monies.

Broker Peter Janssen in Janssen Partners, INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

Currently financial advisor Peter Janssen (Janssen), currently employed by brokerage firm Janssen Partners, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $94,930.00 on January 05, 2023.

Claimant alleges terms of the Mega Blockchain private placement were misrepresented. Claimant alleges she was unsuitable for the investment. On or about December 28,\, 2017, Claimant invested $94,930.40 into the Mega Blockchain offering.

Broker William Smith in LPL Financial LLC Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Smith (Smith), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $100,000.00 on January 03, 2023.

Claimants allege the RR recommended an unsuitable Oil & Gas Investment