Securities Lawyers Blog

There are Recent Customer Complaints with Broker Joshua Stier in Firm Charles Schwab & Co., INC.

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Stier (Stier), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Stier 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 $48,008.00 on November 17, 2021.

Client alleges that instructions provided to the representative to buy to close 11 Tesla contracts were not followed, resulting in a monetary loss.

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

January 17, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Lefranc Joseph (Joseph) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Joseph was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity. If you have been a victim of Joseph’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on November 15, 2021.

LeFranc Joseph who was not a named party to the action. Joseph’s name did not appear in the body of the SOC, however, DLA made a best efforts attempt and confirmed that he was the IC who sold the investments at issue in the SOC. The allegations do not include misappropriation, forgery, theft or conversion of funds or securities. Allegation period December 22, 2015 to November 15, 2021

There are Recent Customer Complaints with Broker Kevin Nanthrup in Firm Ameriprise Financial Services, LLC

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Nanthrup (Nanthrup), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nanthrup 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 $23,291.10 on November 16, 2021.

The client alleged her advisor did not follow her instructions regarding how a variable annuity purchase was to be funded in July 2020.

There are Recent Customer Complaints with Broker Brian Turner in Firm Wells Fargo Clearing Services, LLC

January 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 22, 2021.

Claimants allege that around December 2020, the FA recommended unsuitable stocks.

Broker Shelby Moore in Arkadios Capital Firm Has Customer Complaint

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shelby Moore (Moore), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 $250,000.00 on November 18, 2021.

Claimants allege that the financial professional recommended an investment that was unsuitable.

Broker Leonard Boniface in Raymond James & Associates, INC. Firm Has Customer Complaint

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leonard Boniface (Boniface), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Boniface 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 $40,820.33 on November 15, 2021.

Claimant alleges he was appointed POA for his mother and instructed FA not to execute any trades in his mother’s accounts without his approval but those instructions were not followed. Allegation Activity Dates: 3/21/19 – 6/30/21.

Broker Brian Chin in Credit Suisse Securities (usa) LLC Firm Has Customer Complaint

January 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 12, 2021.

Credit Suisse incurred approximately $5.5 billion in losses following the March 26, 2021 default of Archegos Capital Management (“Archegos”), the family office of Sung Kook “Bill” Hwang. The putative class action lawsuit filed against Credit Suisse, Brian Chin, and others alleges that the defendants misrepresented to the market that CS had strong risk-management practices when in reality it was allowing its prime brokerage customers, such as Archegos, to take risky bets that violated those practices.

There are Recent Customer Complaints with Broker Phillip Wight in Firm LPL Enterprise, LLC

January 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 19, 2021.

Customer alleges that in June 2021, she was misled into purchasing a variable annuity that was not appropriate for her age and financial needs.

Broker John Conroy in Andrew Garrett INC. Firm Has Customer Complaint

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Conroy (Conroy), previously associated with Andrew Garrett INC., has at least one disclosable event. These events include one customer complaint, alleging that Conroy 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 $118,000.00 on November 16, 2021.

Alleged allegations STATUTORY AND COMMON LAW FRAUD, NEGLIGENCE, BREACH OF CONTRACT\<char_lb_r>\, BREACH OF FIDUCIARY DUTY

There are Recent Customer Complaints with Broker Michael Sharp in Firm J. Alden Associates, INC.

January 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 15, 2021.

Claimants alleged the alternative investments they purchased in years 2013, 2014 and 2015 were misrepresented and not suitable.