First Allied Securities

Broker David Kennon in First Allied Securities, INC. Firm Has Customer Complaint

January 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Kennon (Kennon), previously associated with First Allied Securities, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Kennon 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 $100,000.01 on July 22, 2021.

Claimant alleges their registered representative recommended unsuitable investments. Claimant generally alleges unsuitability, due diligence, breach of contract, negligence, and fraud.

There are Recent Customer Complaints with Broker Masood Azad in Firm First Allied Securities, INC.

January 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Masood Azad (Azad), previously associated with First Allied Securities, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Azad 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 August 05, 2021.

Claimants allege their registered representative recommended an unapproved outside securities transaction, misrepresentation, negligent supervision, and breach of contract.

Broker Paul Drolson in First Allied Securities, INC. Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2021.

Claimant generally alleges suitability, breach of contract, negligent supervision, and breach of fiduciary duty.

Broker William Robertson in First Allied Securities, INC. Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Robertson (Robertson), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Robertson 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 October 05, 2021.

Claimant alleges his financial adviser recommended unsuitable investments. Claimant generally alleges misrepresentation, breach of duty and contract, and negligence.

Broker Joshua Bitterman in First Allied Securities, INC. Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Bitterman (Bitterman), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bitterman 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 October 07, 2021.

Claimant alleges their former registered representative failed to disclose risks of certain alternative investments which claimant alleges were unsuitable.

There are Recent Customer Complaints with Broker William Chancellor in Firm First Allied Securities, INC.

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Chancellor (Chancellor), previously associated with First Allied Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chancellor 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 $132,000.00 on November 02, 2021.

Claimant alleges former registered representative recommended alternative investments which were unsuitable.

There are Recent Customer Complaints with Broker Michael Maloney in Firm First Allied Securities, INC.

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Maloney (Maloney), previously associated with First Allied Securities, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Maloney 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 $50,000.00 on November 22, 2021.

Claimants allege their financial adviser recommended investments that were unsuitable for them. Claimant generally alleges suitability, overconcentration, fiduciary duty, and failure to supervise.

There are Recent Customer Complaints with Broker Neil Fineman in Firm First Allied Securities, INC.

January 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Fineman (Fineman), previously associated with First Allied Securities, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Fineman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 18, 2022.

Respondent Fineman failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Christopher Kelts in Firm First Allied Securities, INC.

December 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kelts (Kelts), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kelts 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 $30,001.00 on December 20, 2021.

Claimant alleges they were recommended unsuitable investments.

Broker Christopher Kelts in First Allied Securities, INC. Firm Has Customer Complaint

December 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kelts (Kelts), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kelts 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 $30,001.00 on December 20, 2021.

Claimant alleges they were recommended unsuitable investments.