Securities Lawyers Blog

Broker Gerard Melley in UBS Financial Services INC. Firm Has Customer Complaint

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerard Melley (Melley), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Melley 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 $300,000.00 on September 17, 2020.

Time frame: 2013 – present\<char_lb_r>\, Claimant’s counsel alleges unsuitability and mismanagement with respect to recommendations and handling of accounts.

There are Recent Customer Complaints with Broker Barry Richter 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 Richter (Richter), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Richter 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 $350,000.00 on September 18, 2020.

Client alleges FA failed to properly invest claimants funds in accordance with her risk and objectives. Allegation Activity Dates: 8/5/2011 to Present.

There are Recent Customer Complaints with Broker Scott Sideras in Firm D.a. Davidson & CO.

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Sideras (Sideras), previously associated with D.a. Davidson & CO., has at least one disclosable event. These events include one customer complaint, alleging that Sideras 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 $10,962.62 on September 18, 2020.

Client alleged misrepresentation when municipal bond matured for less than par value. From 05/22/2018 to 07/24/2020.

There are Recent Customer Complaints with Broker John Tarpinian in Firm Paulson Investment Company LLC

March 30, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker John Tarpinian (Tarpinian), previously employed by Paulson Investment Company LLC has been subject to at least 4 disclosable events. These events include 4 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), Tarpinian’s most recent customer complaint alleges that Tarpinian recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $342,852.00 on September 16, 2020.

The Claimant’s allege that Mr. Tarpinian made unsuitable recommendations to purchase structured notes.

Broker Dennis Cirbo in Madison Avenue 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 Dennis Cirbo (Cirbo), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cirbo 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 $155,000.00 on September 17, 2020.

Unsuitable recommendation of GPB Automotive

Broker Brandon Whaley in LPL Enterprise, LLC Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Whaley (Whaley), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whaley 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 September 20, 2020.

Client alleges misrepresentation regarding managed account investment. Activity dates 09/02/2020-09/02/2020.

There are Recent Customer Complaints with Broker David Llewellyn in Firm Cambridge Investment Research, INC.

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Llewellyn (Llewellyn), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Llewellyn 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 $216,000.00 on September 19, 2020.

Client alleges misrepresentation and unsuitable investment.

There are Recent Customer Complaints with Broker Kevin Hitz in Firm J.P. Morgan Securities LLC

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Hitz (Hitz), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hitz 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 21, 2020.

The allegations relate to alleged representations and omissions made in connection with the sale of an investment that resulted in a tax consequence for the client. Activity dates: 6/11/2019 – 6/25/2019.

Broker Frederick Hughes in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on September 21, 2020.

Client complained that the financial advisor did not follow his instruction to modify the strike price of an option position, resulting in the underlying stock being called away. (3/20/2020-8/31/2020)

Broker Dee Rippetoe in Sigma Financial Corporation Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dee Rippetoe (Rippetoe), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Rippetoe 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 $300,000.00 on September 23, 2020.

Statement of claim filed by Claimant’s Trustee alleges negligence, breach of fiduciary duty, breach of contract, material misrepresentations and omissions and failure to supervise. The investments were sold at a previous firm therefore the name of he firm and date is unknown.