Securities Lawyers Blog

Broker Aly Mady in Edward Jones Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aly Mady (Mady), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mady 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 March 17, 2020.

Client alleges financial advisor misrepresented the 529 plan investment options.

Broker David Scott in LPL Enterprise, LLC Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 17, 2020.

Client alleges that FA misrepresented the nature of the mutual fund that was purchased.

Broker Spencer Gliddon in J.P. Morgan Securities LLC Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Spencer Gliddon (Gliddon), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gliddon 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 $17,378.00 on March 16, 2020.

Client alleges suitability regarding mutual fund investment. Activity dates 03/06/2020-03/06/2020.

There are Recent Customer Complaints with Broker Andrew Kirwin in Firm LPL Enterprise, LLC

July 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 18, 2020.

Client alleges that the transfer of funds from her IRA account to pay the premiums for her life insurance policy has created a potential tax liability.

There are Recent Customer Complaints with Broker Timothy Augustin in Firm Western International Securities, INC.

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Augustin (Augustin), previously associated with Western International Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Augustin 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 $180,000.00 on March 17, 2020.

Unsuitable Recommendations

Broker Edward Casasola in Charles Schwab & Co., INC. Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Casasola (Casasola), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Casasola 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 $18,500.00 on March 17, 2020.

Client alleges that in March 2020 representative failed to follow instructions regarding the investment of funds into a managed account.

Broker Jonathan Hendrickson in Thrivent Investment Management INC. Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Hendrickson (Hendrickson), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Hendrickson 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 $26,000.00 on March 17, 2020.

Customer alleged representative failed to follow instructions in February 2020 to redeem sub-accounts in variable annuity timely, which resulted in market losses.

There are Recent Customer Complaints with Broker Adam Heath in Firm Northwestern Mutual Investment Services, LLC

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Heath (Heath), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heath 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 $32,021.81 on March 16, 2020.

Representative allegedly failed to follow the customer’s instructions to liquidate his account which resulted in a loss of value in the customer’s account.

Broker Mason Gann in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mason Gann (Gann), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gann 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 $53,000.00 on March 17, 2020.

The client alleges the representative over concentrated their assets in two stocks which were unsuitable did not preform as expected. The client also alleges the firm failed to supervise the actions of the representative.

Broker Erik Moreau in Vanderbilt Securities, LLC Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 16, 2020.

The client states that she had an in-person meeting with the representative on December 18th, 2019 where a request was discussed and finalized to reallocate all assets in her two accounts to 75% money market and 25% equities. The client further states that she left the meeting satisfied with the changes and that there was no indication from the representative that he intended not to proceed per her directions. The client claims that she reviewed her accounts a week prior to the March 16 email and noticed that the changes were never made and wants a meeting with the escalation team to determine a path forward.