Securities Lawyers Blog

There are Recent Customer Complaints with Broker Kyle Franklin in Firm Hilltop Securities INC.

March 31, 2026 | by Staff Attorney

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

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

Claimants allege their financial advisor recommended unsuitable investments. Claimants allege breach of duty and contract, negligence, and failure to supervise.

There are Recent Customer Complaints with Broker Steven Foote in Firm J.P. Morgan Securities LLC

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Foote (Foote), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Foote 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 $11,300,000.00 on September 08, 2020.

Claimants alleges exercise of discretion and unsuitable investments. Activity dates August 2016 – July 2020.

Broker Robert Darnall in Edward Jones Firm Has Customer Complaint

March 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 04, 2020.

The client alleges that the joint income rider was misrepresented in 2015.

Broker Peter Smith in LPL Financial LLC Firm Has Customer Complaint

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Smith (Smith), previously 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 $25,000.00 on September 10, 2020.

Claimant vaguely alleges that her financial professional recommended that she invest in two non-public REIT investments which were unsuitable for her investment portfolio. Claimant fails to provide any specific supporting allegations that demonstrate why or how the investments were unsuitable for her. The time period 09/2014 – 09/2020.

Broker Michael Williams in Raymond James Financial Services, INC. Firm Has Customer Complaint

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Williams (Williams), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 September 08, 2020.

Customer alleges purchases of FS Investment Corp. III and Griffin-American Healthcare REIT were unsuitable.

There are Recent Customer Complaints with Broker Charles Fenner in Firm Wells Fargo Clearing Services, LLC

March 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 04, 2020.

Claimant alleges breach of fiduciary duty, misrepresentation and non-disclosure, negligence and gross negligence, and violation of Louisiana Securities Laws.

Broker Kyoung Hwan Paik in Nylife Securities LLC Firm Has Customer Complaint

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyoung Hwan Paik (Paik), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paik 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 $6,429.01 on September 17, 2020.

The customer alleged that in or around July 2020 the RR altered a whole life insurance payment request form, changed the date on the form from 4/26/2020 to 7/26/2020 and initiated a recurring payment. Further, the customer alleged that the RR used her online client login credentials to make a payment in the amount of $6,429.01 from the customer’s bank account to repay the customer’s outstanding policy loan balance without her authorization.

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

March 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 15, 2020.

The customer alleges the fraudulent transfer of stocks.

There are Recent Customer Complaints with Broker Daniel Szmyrko in Firm Allianz Life Financial Services, LLC

March 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 15, 2020.

Regarding the 2019 purchase of a variable universal life policy, the client alleged that the representative sold her a risky and very expensive retirement policy that was unsuitable for her and did not have the flexibility that she reequested.

There are Recent Customer Complaints with Broker Jerry Romano in Firm Financial Northeastern Securities, INC.

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Romano (Romano), currently associated with Financial Northeastern Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Romano 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 $75,000.00 on September 14, 2020.

Unsuitability, misrepresentation/omission, failure to supervise, breach of fiduciary duty