Securities Lawyers Blog

There are Recent Customer Complaints with Broker Kade Orsburn in Firm Signature Estate Securities, LLC

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kade Orsburn (Orsburn), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Orsburn 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 $174,204.00 on January 30, 2026.

Former client alleges unsuitable advice and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Orley Pacheco in Firm Wells Fargo Clearing Services, LLC

April 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 02, 2026.

The client verbally complained that he didn\\u2019t fully understand the impact of the upfront sales charges in the recommended purchase of the mutual funds. (1/29/2026-2/2/2026)

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

April 7, 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 2 disclosable events. These events include 2 customer complaints, 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 $250,000.00 on February 02, 2026.

Customer alleges the investment they purchased were not suitable

Broker Michaela Rauscher in LPL Financial LLC Firm Has Customer Complaint

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michaela Rauscher (Rauscher), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rauscher 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 $20,000.00 on January 30, 2026.

Customer alleges the representative did not act in the best interest of the retail customer when recommending investment to the customer in April 2020.

There are Recent Customer Complaints with Broker Erik Antener in Firm Park Avenue Securities LLC

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Antener (Antener), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Antener 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 February 03, 2026.

Customer filed a FINRA arbitration alleging, among other things, that the registered representative engaged in unauthorized and unsuitable trading in connection with her investment accounts, including allegations that trades were effected without her knowledge or consent and without proper authorization. The matter remains pending.

There are Recent Customer Complaints with Broker Eric Pritz in Firm Signature Estate Securities, LLC

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Pritz (Pritz), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pritz 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 $174,204.00 on January 30, 2026.

Former client alleges unsuitable advice and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Michael Comber in Firm Morgan Stanley

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Comber (Comber), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Comber 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 $122,719.00 on January 29, 2026.

Claimant alleges, inter alia, unauthorized trading relating to four brokered CD investments – Nov 2020 to Jun 2021

Broker Jenna Spurrier in Thurston, Springer, Miller, Herd & Titak, INC. Firm Has Customer Complaint

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jenna Spurrier (Spurrier), currently associated with Thurston, Springer, Miller, Herd & Titak, INC., has at least one disclosable event. These events include one customer complaint, alleging that Spurrier recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 30, 2026.

Complaint alleges mismanagement of funds and not being invested and traded according to the accounts investment objective

Broker Harrison Chang in Innovation Partners LLC Firm Has Customer Complaint

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harrison Chang (Chang), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chang 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 $200,000.00 on January 30, 2026.

Customer alleges the representative did not act in the best interest of the retail customer when recommending investment to customer in February 2019.

Broker Shomir Mukherjee in LPL Financial LLC Firm Has Customer Complaint

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shomir Mukherjee (Mukherjee), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mukherjee 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 $65,000.00 on January 30, 2026.

Customer alleges the representative and the firm did not act in the best interest of the retail customer when recommending investment to the customer between 2020-2022.