Securities Lawyers Blog

There are Recent Customer Complaints with Broker Roderick Day in Firm Cabot Lodge Securities LLC

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Day (Day), previously associated with Cabot Lodge Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Day 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 $62,000.00 on September 15, 2020.

Client alleges money was misappropriated by the representative under the false pretenses of it being invested in an LLC.

Broker Joseph Leonczyk in Commonwealth Financial Network Firm Has Customer Complaint

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Leonczyk (Leonczyk), previously associated with Commonwealth Financial Network, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Leonczyk 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 $65,000.00 on September 15, 2020.

Customer alleges puchases of FS Energy and Industrial REIT were unsuitable.

Broker Lisa Waterman in Osaic Wealth, INC. Firm Has Customer Complaint

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Waterman (Waterman), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waterman 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 September 17, 2020.

Claimant alleges that the trust account was over concentrated in alternative investments

There are Recent Customer Complaints with Broker Kirk Gill in Firm Taylor Capital Management INC.

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Gill (Gill), previously associated with Taylor Capital Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Gill 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 $238,316.00 on September 17, 2020.

Clients’ attorney alleged unsuitability with respect to energy security investments – December 2013 through March 2016.

There are Recent Customer Complaints with Broker Adam Goodman in Firm LPL Financial LLC

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Goodman (Goodman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Goodman 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 September 18, 2020.

Client alleges unauthorized trading and unsuitable transactions since February 2014

There are Recent Customer Complaints with Broker Richard Prann in Firm Stonecrest Capital Markets, INC.

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Prann (Prann), currently associated with Stonecrest Capital Markets, INC., has at least one disclosable event. These events include one customer complaint, alleging that Prann 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 $25,230.00 on September 17, 2020.

Unauthorized sale of FBP on August 13, 2018.

There are Recent Customer Complaints with Broker Barry Sobel in Firm Raymond James & Associates, INC.

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Sobel (Sobel), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sobel 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 $1,000,000.00 on September 15, 2020.

Claimant alleges that from 2014 to 2016, DBSI made unsuitable investments in Claimant’s discretionary account. Claimant asserts several causes of action including breach of contract, unsuitability and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Linda Howard in Firm LPL Financial LLC

March 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 14, 2020.

Attorney for the executor of the client’s estate alleges the rr engaged is false and misleading conduct with former poa agent in relation to opening an account in the client’s name, allowed the agent to designate beneficiaries other than the estate, and conspired with the agent to deplete the assets of the estate. Time period of the activity is from March 2018 through December 2019.

Broker Cheryl Marquez in LPL Financial LLC Firm Has Customer Complaint

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cheryl Marquez (Marquez), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marquez 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 $119,594.09 on September 17, 2020.

Clients, through attorney, allege that the rr did not follow explicit instructions to sell and failed to inform them about the status of their investment resulting in a loss in their account.

Broker Steven Colacurcio in Dawson James Securities, INC. Firm Has Customer Complaint

March 30, 2026 | by Staff Attorney

Previously financial advisor Steven Colacurcio (Colacurcio), previously employed by brokerage firm Dawson James Securities, 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 settled customer complaint with a damage request of $35,000.00 on September 17, 2020.

From 9/18/2015 – 9/18/2015 customer alleged that the rep failed to explain the risks and fees associated with the purchase of 2 REITs.