Securities Lawyers Blog

Broker Michael Lacy in J.P. Morgan Securities LLC Firm Has Customer Complaint

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lacy (Lacy), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lacy 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 $13,609.39 on April 01, 2024.

Customer alleges misrepresentation regarding managed account. Activity dates 5.9.22 – 5.9.22.

Broker William Bryant in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Bryant (Bryant), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bryant 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 $14,229,000.00 on April 04, 2024.

On April 4, 2024 and July 9, 2024, Dr. Bryant received customer complaints related to the recommendation of a potential franchise opportunity, WaterStation Technology, a water vending machine franchise. The complaints alleged that Dr. Bryant breached his fiduciary duty and failed to disclose a material conflict related to the recommendation. All complaints were settled in mediation before any arbitration or civil complaint was initiated. Dr. Bryant denies all liability related to these claims.

There are Recent Customer Complaints with Broker Jenny Powell in Firm Raymond James Financial Services, INC.

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jenny Powell (Powell), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Powell 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 $14,229,000.00 on April 04, 2024.

On April 4, 2024 and July 9, 2024, High Speed Alliance LLC (“HSA”) received customer complaints related to the recommendation of a potential franchise opportunity, WaterStation Technology, a water vending machine franchise. Ms. Powell was named in the customer complaints. The complaints alleged that HSA breached its fiduciary duty and failed to disclose a material conflict related to the recommendation. All complaints were settled in mediation before any arbitration or civil complaint was initiated. HSA and Ms. Powell deny all liability related to these claims.

Broker Ryan Ainsworth in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Ainsworth (Ainsworth), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ainsworth 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 $465,000.00 on April 01, 2024.

The customer is alleging misrepresentation and Breach of Fiduciary Duty, Breach of Contract and Covenant of Good Faith and Fair Dealing, Breach of Contract and Negligent Misrepresentation.

There are Recent Customer Complaints with Broker Kevin Wilson in Firm Cetera Advisor Networks LLC

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Wilson (Wilson), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 April 01, 2024.

Claimant alleges he was sold an unsuitable investment.

Broker Gregory Suzio in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Suzio (Suzio), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Suzio 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 $499,000.00 on April 04, 2024.

The claimant alleges unsuitable investment recommendations and misrepresentation from 2021 through 2023.

There are Recent Customer Complaints with Broker James Jenkins in Firm Creativeone Securities, LLC

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Jenkins (Jenkins), currently associated with Creativeone Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jenkins 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 $100,000.00 on April 05, 2024.

Claimants allege failure to supervise, breach of contract, material misrepresentations, breach of fiduciary duty and lack of suitability in regard to recommendations in alternative products.

There are Recent Customer Complaints with Broker Ricky Whitmire in Firm LPL Financial LLC

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Whitmire (Whitmire), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whitmire 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 $22,000.00 on April 01, 2024.

The client stated that the agreed-upon allocations for a variable annuity opened in 2022 while the advisor was registered at CUNA Brokerage Services, Inc. were not in their best interest. Moreover, the client stated that the advisor, while registered at LPL, failed to assist in modifying the variable annuity’s subaccount allocation (2023), causing the client to miss the deadline for an allocation change and subsequent losses. The client asked for a return of their account losses and hypothetical gains if the account had been invested differently at account opening, totaling $22,000.

There are Recent Customer Complaints with Broker Michael Jawien in Firm Morgan Stanley

May 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 05, 2024.

Allegations were made against the FA for unsuitable recommendations in October 2020

There are Recent Customer Complaints with Broker Christopher Browning in Firm Equitable Advisors, LLC

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Browning (Browning), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Browning 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 $230,000.00 on April 03, 2024.

Misrepresentation