Securities Lawyers Blog

Broker Patrick Sizemore in Vanguard Marketing Corporation Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2023.

Client alleges that the advisor did not follow her instructions to convert her Traditional IRA to her Roth IRA for tax year 2023. The conversion took place in tax year 2022 which caused the client to be placed in a higher tax bracket and resulted in additional IRS tax liabilities. The activity dates leading to the allegation were December 28, 2022, through December 30, 2022.

There are Recent Customer Complaints with Broker Fermin Mesina in Firm Osaic Institutions, INC.

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fermin Mesina (Mesina), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mesina 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 $500,000.00 on January 11, 2023.

Respondent failed to perform adequate due diligence and concentrated a large portion of the client’s net worth into this investment vehicle.

Broker Gerald Coyne in Cuso Financial Services, L.p. Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Coyne (Coyne), previously associated with Cuso Financial Services, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Coyne 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 $337,000.00 on January 10, 2023.

Misrepresentation related to an investment recommendation to purchase a VA on or about May 19, 2014.

There are Recent Customer Complaints with Broker Steven Skipper in Firm Cetera Advisors LLC

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Skipper (Skipper), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Skipper 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 $400,000.00 on January 11, 2023.

Customers allege misrepresentation. Activity period 1/1/12 to 1/26/20.

Broker Aileen Low in Edward Jones Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aileen Low (Low), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Low 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 $33,358.43 on January 11, 2023.

Trustee alleges that the FA did not advise her that investing funds in Advisory Solutions accounts could result in losing value. Additionally, the client alleges that there was too much risk exposure in the accounts for the investment time horizon and that the FA did not act in her (or the beneficiaries) best interest.

There are Recent Customer Complaints with Broker Robert Li in Firm LPL Financial LLC

October 21, 2025 | by Staff Attorney

Currently financial advisor Robert Li (Li), currently employed by brokerage firm LPL Financial LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 settled customer complaint with a damage request of $200,000.00 on January 06, 2023.

Customer alleges that representative recommended an investment strategy involving REITs, and buying certain equities on margin which were not suitable for the customer’s investment objectives and risk tolerance. Time period: December 2008 to January 2023.

There are Recent Customer Complaints with Broker Rey Medina Velez in Firm UBS Financial Services INC.

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rey Medina Velez (Medina Velez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Medina Velez 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 $103,924.59 on January 12, 2023.

Time frame: Unspecified\, \, Allegations: Claimants allege their investments in Puerto Rico municipal bonds and closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Penelope Donnelly in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 10, 2023.

Client alleges failure to follow instructions related to the liquidation of a mutual fund and transfer of proceeds in April 2022.

There are Recent Customer Complaints with Broker Jeffrey Matchett in Firm Osaic Wealth, INC.

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Matchett (Matchett), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Matchett 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 $8,416.94 on January 09, 2023.

Client alleges she requested the RR to maintain $80,000 in her KeyBank savings account rather than investing the full amount of $250,000 in four different Franklin mutual funds.

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

October 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2023.

CLAIMANTS ALLEGE THEY WERE RECOMMENDED UNSUITABLE INVESTMENTS.