Securities Lawyers Blog

Broker Michael Corrigan in M Holdings Securities, INC. Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 18, 2020.

Plaintiffs allege that representative made misrepresentations related to the Supplemental Employee Retirement Plan.

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

May 6, 2026 | by Staff Attorney

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

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

The customer alleges unauthorized trading on February 27 ,2020.

There are Recent Customer Complaints with Broker Guilherme Silveira Sahadi in Firm Btg Pactual Us Capital, LLC

May 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 21, 2020.

Claimant alleges that in or about January 2018, FA made unsuitable recommendations

Broker Stephen Curry in Kestra Investment Services, LLC Firm Has Customer Complaint

May 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Curry (Curry), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Curry 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 $7,790,689.00 on May 21, 2020.

Client alleged breached of fiduciary duty and related claims associated with services to a retirement fund.

Broker Kinan Nimeh in Garden State Securities, INC. Firm Has Customer Complaint

May 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kinan Nimeh (Nimeh), previously associated with Garden State Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nimeh 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 $50,000.00 on May 26, 2020.

Over-concentration in a security, unsuitable transactions. Time period approx 2011-2015.

There are Recent Customer Complaints with Broker David Logsdon in Firm Wells Fargo Clearing Services, LLC

May 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 21, 2020.

Power of Attorney for client complained that the securities in the client’s account were not suitable. (9/8/2016-5/21/2020)

There are Recent Customer Complaints with Broker John Stophel in Firm Purshe Kaplan Sterling Investments

May 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Stophel (Stophel), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Stophel 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 $150,000.00 on May 26, 2020.

Client alleges Unsuitable investment into GPB Automotive Portfolio, LP and GPB Capital Holdings II, purchased through Mr. Stophel’s Registered Investment Advisory firm, away from Purshe Kaplan Sterling Investments.

Broker John Rogers in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

May 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Rogers (Rogers), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rogers 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 May 22, 2020.

Time frame: Unspecified \<char_lb_r>\, Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

Broker T Jackson in Morgan Stanley Firm Has Customer Complaint

May 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 22, 2020.

Client alleges that he did not authorize the establishment of a managed account or for trading to begin 2020 damages unspecified

There are Recent Customer Complaints with Broker Robert Lapetina in Firm Nationwide Planning Associates INC.

May 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lapetina (Lapetina), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Lapetina 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 $40,000.00 on May 21, 2020.

Time Frame: January 2, 2001 to December 28, 2012 What were the allegations against the individual? The client’s\<char_lb_r>\, attorney alleges the investments were unsuitable as they were illiquid and highly leveraged funds. The client’s attorney\<char_lb_r>\, further alleges the strategy was inappropriate and highly concentrated. The client’s attorney further alleges the client was misled to safety of the recommended investment. The attorney finally alleges adding further risk the firm provided a margin loan secured by the volatile fund assets in a brokerage account.