Securities Lawyers Blog

There are Recent Customer Complaints with Broker Kirsten Ylagan in Firm Cabin Securities, INC.

June 1, 2026 | by Staff Attorney

Currently financial advisor Kirsten Ylagan (Ylagan), currently employed by brokerage firm Cabin Securities, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on April 17, 2026.

Ylagan was subject of customer complaint regarding a reg D private placement. The complaint against the member firm asserted the following causes of action, unsuitable recommendation, misrepresentation and omission, failure of due diligence, failure to supervise.

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

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Graves (Graves), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Graves 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 $6,000.00 on April 13, 2026.

Client alleges failure to follow instructions 2/14/2025-4/13/2026

Broker Rhett Grimes in Emerson Equity LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rhett Grimes (Grimes), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grimes 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 $800,000.00 on April 15, 2026.

Suitability and misrepresentation

Broker Christopher Kirkland in Cetera Wealth Services, LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kirkland (Kirkland), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirkland 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 $150,000.00 on April 17, 2026.

Customer alleges the investments they purchased were not suitable.

Broker Ben Sutak in Thinkequity LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ben Sutak (Sutak), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sutak 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 $80,000.00 on April 17, 2026.

Customer alleges he was solicited to transfer assets to the firm, then was recommended speculative biotech securities. As the positions declined, he alleges firm representatives repeatedly told him to continue holding rather than sell. Claims include unsuitable recommendations, over-concentration, misrepresentations/omissions, negligence, breach of fiduciary duty, breach of contract, and failure to supervise.

Broker Jamie Duval in Morgan Stanley Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Duval (Duval), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Duval 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 $20,373.00 on April 13, 2026.

Client alleged that he would not have agreed to liqudiate his annuity held in a qualified plan to invest proceeds in a managed account if he had been advised that he would be subject to a 10% early withdrawal penalty 2025

There are Recent Customer Complaints with Broker Michael Lader in Firm Ameriprise Financial Services, LLC

June 1, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Michael Lader (Lader), currently employed by Ameriprise Financial Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lader’s most recent customer complaint alleges that Lader recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on April 17, 2026.

Customer alleges that in December 2021 the registered representative recommended a 1035 exchange into a Variable Universal Life and the purchase of a variable long-term care product that were unsuitable, improperly structured, and intended to generate commissions. The allegations include failure to provide an illustrated rider and underfunding leading to declining value.

Broker Tara Clark in Osaic Wealth, INC. Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tara Clark (Clark), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $5,000.00 on April 15, 2026.

Customer alleges financial professional failed to follow instructions to purchase an ETF in 2023.

Broker Milka Micic in J.P. Morgan Securities LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Milka Micic (Micic), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Micic 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 $10,000,000.00 on April 15, 2026.

Customer alleges failure to follow instructions regarding a managed account. Activity dates 03/2025 – 04/2025.

Broker Neil Butler in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Butler (Butler), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $31,250.00 on April 13, 2026.

The client complains that the financial advisor made unsuitable recommendations regarding the fee structure of the share classes sold. (1/25/2018-1/14/2026)