Securities Lawyers Blog

There are Recent Customer Complaints with Broker Clinton Warner in Firm Triad Advisors LLC

December 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clinton Warner (Warner), previously associated with Triad Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Warner 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 $10,612.00 on January 10, 2022.

In a written complaint dated January 10, 2022, addressed to Bankers Life and Casualty Company (BLC), an insurance company affiliate of the Firm, client alleged that a Guaranteed Lifetime Income Annuity (GLIA) and a Premium Bonus Indexed Annuity (PBIA) were unsuitable given her age and financial situation. Client further alleged she was unclear on the features of the products recommended due to being on pain medication at that time. Client requested BLC unwind these transactions and return her premiums. BLC denied the complaint and determined that the sale of the annuities were suitable and that the terms of the annuities were fully disclosed to the client, but as an accommodation allowed client to surrender her polices without penalties. While the annuities sold to the client were not securities and were issued by BLC, the Firm is reporting this complaint because the source of funding came from the sale of securities recommended by a former financial representative of the Firm.

There are Recent Customer Complaints with Broker Onassis Burress in Firm First Citizens Investor Services, INC.

December 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Onassis Burress (Burress), previously associated with First Citizens Investor Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Burress 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 $8,146.77 on January 06, 2022.

Registered Rep Onassis Burress recommended the client rollover her appx $50K retirement account into the GALIC Index Summit 6 annuity in November 2020. The annuity contract was signed December 31, 2020. The funds rolled over into the account on February 5, 2021 but remained in the sweep account and were never placed in the annuity as planned. Client requested compensation for the lost earnings that she would have received if the funds had been invested as instructed. First Citizens Investor Services settled this matter via Restorative Payment in the amount of $8146.77 on March 4, 2022.

There are Recent Customer Complaints with Broker Dustin Perkins in Firm Stonex Securities INC.

December 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Perkins (Perkins), currently associated with Stonex Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Perkins 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 January 03, 2022.

Defendant recklessly encouraged the plantiff to invest funds with one of the defendant’s other clients (i.e. The defendant’s friend). Plaintiff now seeks to recover those funds from defendant for: negligence; breach of fiduciary duty; and violation of tennessee’s consumer protection act.

Broker Derek Lyght in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

December 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Lyght (Lyght), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lyght 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 $5,000.00 on January 04, 2022.

Customer alleging variable life insurance policy is not suitable for him.

There are Recent Customer Complaints with Broker Blake Crousore in Firm Northwestern Mutual Investment Services, LLC

December 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Crousore (Crousore), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crousore 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 $5,000.00 on January 04, 2022.

Customer alleges that in or around September 2021, he instructed the Representative to purchase securities in a brokerage account, but instead, the Representative made unauthorized trades in a managed investment advisory account, which the customer alleges he did not authorize to be opened. The customer also alleges that the Representative misled him about executing the trades in a brokerage account while the funds remained in the managed investment advisory account.

Broker Andrew Hess in Ameriprise Financial Services, LLC Firm Has Customer Complaint

December 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hess (Hess), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hess 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 January 10, 2022.

Claimants allege that Respondent failed to properly allocate and diversify their investment portfolio and that they were recommended unsuitable alternative investments including Carey Watermark/Watermark Lodging Trust REIT and FSEP.

Broker Danton Troyer in Private Client Services, LLC Firm Has Customer Complaint

December 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danton Troyer (Troyer), previously associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Troyer 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 $35,000.00 on January 03, 2022.

Claimant alleges that in 2014, representative made an unsuitable recommendation that he invest in FS Energy and Power Fund which was not appropriate for his investment objectives, and that he suffered losses from the investment.

Broker Christopher Peterson in Vanguard Marketing Corporation Firm Has Customer Complaint

December 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2022.

Customer alleges vanguard invested all the cash from her roth ira instead of the agreed upon amounts per the invesment plan and as a result of this error stock shares were erroneously sold. The activities occurred between June 6, 2021 through June 23, 2021.

There are Recent Customer Complaints with Broker Peter Mirenda in Firm Vcs Venture Securities

December 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Mirenda (Mirenda), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Mirenda 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 $1,500,000.00 on January 03, 2022.

Alleged excessive, unsuitable and unauthorized trades.

Broker Adam Maggio in Vcs Venture Securities / Joseph Stone Capital L.l.c. Firm Has Customer Complaint

December 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Maggio (Maggio), currently associated with Vcs Venture Securities / Joseph Stone Capital L.l.c., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Maggio 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 $2,087,663.24 on January 03, 2022.

Churning, negligence and unsuitability, failure to supervise, unauthorized trading, breach of fiduciary duty, breach of contract, unjust enrichment, negligent misrepresentation and omissions, lost opportunity damages, and punitive damages.