Securities Lawyers Blog

There are Recent Customer Complaints with Broker Scott Blando in Firm Edward Jones

July 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $50,000.00 on March 27, 2020.

Plaintiffs, as executor and personal representative of Estate, allege that beneficiaries were not designated according to the instructions of the decedent in October 2018. As a result, Plaintiffs did not receive distributions of approximately $50,000.00.

There are Recent Customer Complaints with Broker Samuel Fahsholtz in Firm Stifel, Nicolaus & Company, Incorporated

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Fahsholtz (Fahsholtz), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Fahsholtz 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 $90,000.00 on March 27, 2020.

Claimant alleges common law fraud, breach of fiduciary duty, negligence, breach of contract, violation of Washington Consumer Protection Act, and violation of Securities Act of Washington

There are Recent Customer Complaints with Broker Brian Rosen in Firm Southeast Investments, N.c., INC.

July 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $520,000.00 on March 30, 2020.

Customers alleged the advisor’s recommendation to purchase variable annuities, in October 2014,\<char_lb_r>\, was not the most suitable choice for them and the product was misrepresented.

There are Recent Customer Complaints with Broker Ruse Brown in Firm UBS Financial Services INC.

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ruse Brown (Brown), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 March 30, 2020.

Time frame: 2017-2018\<char_lb_r>\, Claimants’ counsel alleges unsuitability, misrepresentation, and negligence with respect to recommendations to invest in bonds.

Broker Donald Durando in PHX Financial, INC. Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Durando (Durando), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Durando 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 $650,000.00 on March 30, 2020.

Unsuitable investments

Broker Mathew Tong in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mathew Tong (Tong), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tong 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 $43,770.00 on March 27, 2020.

Client alleges suitability regarding managed account investment. Activity dates 03/18/2020-03/18/2020.

There are Recent Customer Complaints with Broker Patrick Pepper in Firm LPL Financial LLC

July 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2020.

Customer amended allegations to allege misrepresentation of mutual funds.

Broker Renee Burns in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Renee Burns (Burns), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Burns recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 30, 2020.

The customer alleges unsuitable investment recommendations from July 2019 until March 2020.

Broker Daniel Claric in LPL Financial LLC Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Claric (Claric), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Claric 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 $88,000.00 on March 27, 2020.

In 2018, the client’s daughter took unauthorized distributions in the amount of $88,000 from her father’s IRA that were not authorized.

There are Recent Customer Complaints with Broker Robert Gordon Brown in Firm UBS Financial Services INC.

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Gordon Brown (Gordon Brown), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Gordon Brown 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 $286,582.00 on March 30, 2020.

Time Frame: March 13, 2020 \<char_lb_r>\, The client alleges her instructions to liquidate her accounts did not occur. She further alleges she was informed that the securities could instantly be sold