Securities Lawyers Blog

There are Recent Customer Complaints with Broker Joel Arivett in Firm Arvest Wealth Management

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Arivett (Arivett), previously associated with Arvest Wealth Management, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Arivett 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, 2021.

Client alleges that funds were not invested in 529 plans as instructed.

Broker Rhett Bedwell in LPL Financial LLC Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rhett Bedwell (Bedwell), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Bedwell 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, 2021.

Customer alleges that representative caused her to transfer funds to business entity that representative purported to be affiliated with, and used funds to invest in an unsecured promissory note without the customer’s knowledge; and that thereafter representative returned the proceeds of the promissory note to the business entity and subsequently transferred the customer’s funds first to another broker-dealer and then to a bank account that was not the customer’s account, without the customer’s knowledge and consent. Activity period: 4/3/19 to 1/29/20.

Broker Kishan Parikh in Aegis Capital Corp. Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kishan Parikh (Parikh), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Parikh recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 17, 2021.

Parikh was named a respondent in a FINRA complaint alleging that he made unsuitable recommendations and excessively traded the accounts of his customers. The complaint alleges that Parikh controlled the trading in the customers’ accounts and executed trades with a total principal value of approximately $31.1 million. Parikh’s excessive and unsuitable trading in the customers’ accounts caused combined losses of more than $33,000. At the same time, Parikh’s trading generated gross sales credits and commissions of $179,112, of which Parikh received at least $89,000. The complaint also alleges that Parikh executed trades with a total principal value of approximately $4.2 million in the accounts of customers without their prior authorization.

There are Recent Customer Complaints with Broker Patrick Adams in Firm LPL Enterprise, LLC

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Adams (Adams), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Adams 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 $12,846.00 on March 18, 2021.

Customer Alleges the rep failed to disclose Tax Consequences.

Broker Tyrone Robinson in Edward Jones Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyrone Robinson (Robinson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Robinson 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 $47,411.00 on March 15, 2021.

Client alleged that failed to provide information related to tax withholdings and that the recommendation by FA to consolidate accounts led to large tax bill.

There are Recent Customer Complaints with Broker Linda Rotsztein in Firm Truist Investment Services, INC.

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Linda Rotsztein (Rotsztein), previously associated with Truist Investment Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rotsztein 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 $626,111.68 on March 17, 2021.

Client allege unsuitable recommendations

There are Recent Customer Complaints with Broker Charles Lek in Firm Lek Securities Corporation

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Lek (Lek), previously associated with Lek Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lek 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 $24,000,000.00 on March 15, 2021.

The customer is alleging that the losses it suffered were the result of the restrictions placed upon it by the Firm in its trading and its access to margin during the market volatility that occurred at the onset of the COVID 19 pandemic in February and March 2020.

There are Recent Customer Complaints with Broker Brad Holdhusen in Firm Private Client Services, LLC

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brad Holdhusen (Holdhusen), previously associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Holdhusen 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 $2,200,000.00 on March 15, 2021.

Statement of Claim alleges Claimants were sold multiple alternative investments based on material misrepresentations and omissions. Claimants allege they were over-concentrated in high-risk, high-commission and speculative alternative investments.

There are Recent Customer Complaints with Broker Gregory Theis in Firm Usa Financial Securities LLC

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Theis (Theis), currently associated with Usa Financial Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Theis 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 $5,000.00 on March 17, 2021.

Plaintiff’s are related to Mr. Theis by marriage. They are the children of Mr. Theis’ uncle’s second wife. Mr. Theis’ uncle and his wife were married for decades and at all times, Mr. Theis stated that they indicated they wanted to name each other as beneficiaries of the other’s assets. Mr. Theis’ aunt passed away in the fall of 2020 and her Plaintiff children allege that Mr. Theis, along with his cousin and 90-year-old uncle who had suffered a [REDACTED], conspired to retain assets that should have belonged to Plaintiffs by assisting husband and wife in naming each as beneficiaries. Plaintiffs also allegedly discovered a trust that Mr. Theis’ uncle and aunt had drawn up over a decade before her passing that was never disclosed to Mr. Theis and never funded by his uncle and aunt. Mr. Theis states that the trust document was only fully provided to him as part of the complaint filing – documents that had been provided to him shortly before the complaint was filed had been redacted ad pages were missing. According to the complaint, Mr. Theis and the other defendants engaged in this conspiracy to divert funds away from the undisclosed and previously unknown trust to prevent Plaintiffs from receiving it.

Broker Joe Hildebrand in Private Client Services, LLC Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joe Hildebrand (Hildebrand), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hildebrand 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 $2,200,000.00 on March 15, 2021.

Statement of Claim alleges Claimants were sold multiple alternative investments based on material misrepresentations and omissions. Claimants allege they were over-concentrated in high-risk, high-commission and speculative alternative investments.