Securities Lawyers Blog

There are Recent Customer Complaints with Broker Andrew Ciccone in Firm Kestra Investment Services, LLC

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Ciccone (Ciccone), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ciccone 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 $500,000.00 on May 23, 2025.

Starting in May 2021, the client alleges the representative provided specific trading guidance and trading strategies that were not in the client’s best interest.

Broker Matthew Mcfarland in Fnex Capital, LLC Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Mcfarland (Mcfarland), currently associated with Fnex Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcfarland 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 $570,000.00 on May 23, 2025.

From investment activity in January and February 2020, claimants allege the following: negligence, misrepresentation, omission, breach of contract, lack of suitability, breach of fiduciary duty, elder abuse

Broker Nicholas Ruch in UBS Financial Services INC. Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Ruch (Ruch), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Ruch 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 $3,233,690.00 on May 23, 2025.

Time frame: 2016 to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.

Broker Richard Mirrielees in UBS Financial Services INC. Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Mirrielees (Mirrielees), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Mirrielees 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 $3,233,690.00 on May 23, 2025.

Time frame: 2016 to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.

There are Recent Customer Complaints with Broker William Whitworth in Firm J.P. Morgan Securities LLC

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Whitworth (Whitworth), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whitworth 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 $111,748.00 on May 29, 2025.

Customer alleges unsuitable investment recommendation. Activity date July 11, 2024.

There are Recent Customer Complaints with Broker Dwight Kay in Firm Fnex Capital, LLC

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dwight Kay (Kay), currently associated with Fnex Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kay 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 $570,000.00 on May 23, 2025.

From investment activity in January and February 2020, claimants allege the following: negligence, misrepresentation, omission, breach of contract, lack of suitability, breach of fiduciary duty, elder abuse

Broker Charles Camilleri in Raymond James Financial Services, INC. Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Camilleri (Camilleri), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Camilleri 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 $299,720.00 on May 28, 2025.

The client alleged that the advisor transferred funds from her joint account without her consent or knowledge solely to her spouse’s name in April 2024.

There are Recent Customer Complaints with Broker David Geake in Firm American Trust Investment Services, INC.

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Geake (Geake), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Geake 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 May 27, 2025.

Suitability; failure to conduct due diligence

Broker Thomas Kelly in Aegis Capital Corp. Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kelly (Kelly), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Kelly 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 $840,000.00 on May 28, 2025.

The client, through legal counsel, alleges that the investments recommended were unsuitable.

There are Recent Customer Complaints with Broker Edward Sep in Firm LPL Financial LLC

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Sep (Sep), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sep 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 $40,000.00 on May 26, 2025.

The client alleges that her representative did not provide advice in her best interest concerning an inherited annuity, including discussing alternatives and tax consequences. 03/01/2024 to 05/26/2025