Securities Lawyers Blog

Broker Mark Starr in Edward Jones Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 04, 2020.

The client alleges she was not informed that FA was liquidating her annuity. Rather, she believes it was being moved into her EJ account to be managed.

Broker Douglas Domian in UBS Financial Services INC. Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 03, 2020.

Time Frame: January 24, 2020 to February 28, 2020 \<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The client alleges his instructions to liquidate his account was not done and a lack of fiduciary responsibility to liquidate on a day when the market without contacting him. The alleged damages are estimated to be in excess of $5,000.00.

Broker Chad Thuner in Lincoln Investment Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Thuner (Thuner), currently associated with Lincoln Investment, has at least one disclosable event. These events include one customer complaint, alleging that Thuner 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 $400,000.00 on March 05, 2020.

Breach of Fiduciary Duty, Misrepresentation, violation of Indiana State Securities Laws.

Broker David Ermlick in Center Street Securities, INC. Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Ermlick (Ermlick), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ermlick 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 03, 2020.

Bought 5/30/2017–250,000.00 GPB—successor trustee filed arbitration for unsuitable

There are Recent Customer Complaints with Broker Richard Groff in Firm Charles Schwab & Co., INC.

July 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Groff (Groff), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Groff 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 $25,000.00 on March 04, 2020.

Client alleges on February 18, 2020, she provided instructions to the representative to sell the etf’s in her account and leave the funds in cash; instead he purchased shares of various securities with the proceeds.

Broker Brent Espinoza in Mwa Financial Services INC. Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 04, 2020.

The clients allege that the representative made an unsuitable recommendation for an account that was opened in March 2018. The clients further allege that the representative indicated funds would be interest free upon withdrawal which they later learned was not accurate. The clients have requested that the account be closed.

There are Recent Customer Complaints with Broker Nicholas Wasielewski in Firm Tiaa-cref Individual & Institutional Services, LLC

July 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 05, 2020.

The client alleges that the representative recommended a reduction in the client’s exposure to stocks and bonds on February 14, 2020 and that the representative failed to timely make these changes even after the client indicated in an email to the representative that he wanted to make the changes on March 2, 2020.

Broker Luis Garcia in UBS Financial Services INC. Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Garcia (Garcia), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $120,000.00 on March 04, 2020.

Time frame: Unspecified\<char_lb_r>\, Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Jeffrey Schuh in Northland Securities, INC. Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Schuh (Schuh), previously associated with Northland Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schuh 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 $50,283.77 on March 05, 2020.

Improper management, excessive trading and excessive commissions from approximately 01/01/2015 to 12/31/2019.

Broker Roxann Seaton in Morgan Stanley Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Roxann Seaton (Seaton), previously associated with Morgan Stanley, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Seaton concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $170,000.00 on March 05, 2020.

Claimant’s POA agent alleged, inter alia, excessive trading with respect to investments. Sept 2012 to Feb 2019