Securities Lawyers Blog

Broker Jonathan Weinberg in PHX Financial, INC. Firm Has Customer Complaint

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Weinberg (Weinberg), previously associated with PHX Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Weinberg 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 June 02, 2020.

Unsuitable investments

Broker Robert Kirwan in Fidelity Brokerage Services LLC Firm Has Customer Complaint

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Kirwan (Kirwan), currently associated with Fidelity Brokerage Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kirwan 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 $63,781.11 on June 05, 2020.

Customer alleged that the registered representative did not follow his instructions to liquidate his account.

There are Recent Customer Complaints with Broker Athishay Gangadharan in Firm Kestra Investment Services, LLC

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Athishay Gangadharan (Gangadharan), currently associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gangadharan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

The client alleges that during a meeting with the representative on or around February 21, 2020 she advised the representative that she wanted to move her investments to safety because of the spreading news\<char_lb_r>\, related to the Corona virus. The client claims that the representative ignored her instructions and invested the client’s cash and that she has suffered financial losses as a result.

Broker Royce Running in Centaurus Financial, INC. Firm Has Customer Complaint

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Royce Running (Running), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Running recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

During the period November 2013 through May 2020, the customer alleges that the Registered Representative recommended unsuitable and illiquid investments.

There are Recent Customer Complaints with Broker Adam Rogers in Firm UBS Financial Services INC.

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Rogers (Rogers), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rogers 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 $1,137,640.00 on June 05, 2020.

Rogers was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of contract and warranties; promissory estoppel; unfair trade and deceptive practices; abuse, neglect, and exploitation of elderly persons and disabled adults; violation of Maryland and Rhode Island fraud statutes; negligence and gross negligence; misrepresentation and negligent misrepresentation; breach of fiduciary duty; and unjust enrichment.

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

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Pence (Pence), currently associated with Charles Schwab & Co., INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pence 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 $11,471.49 on June 03, 2020.

Client alleges trades placed on May 15, 2020 were unauthorized.

Broker Franklin Laden in UBS Financial Services INC. Firm Has Customer Complaint

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franklin Laden (Laden), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Laden recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Client alleges his instructions to purchase two (2) equity investments were not acted on.

Broker Marie Turino in Valic Financial Advisors, INC. Firm Has Customer Complaint

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marie Turino (Turino), currently associated with Valic Financial Advisors, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Turino 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 $750,000.00 on June 03, 2020.

Complainant purchased a variable annuity in December of 2015, and alleges the registered representative misrepresented the product as a long term guaranteed retirement vehicle. Complainant claims the misleading information has led to significant losses within his annuity putting his retirement income in jeopardy.

There are Recent Customer Complaints with Broker Landon Marino in Firm Morgan Stanley

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Landon Marino (Marino), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Marino recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 02, 2020.

Claimants allege, inter alia, unsuitability with respect to investments – July 2013 to April 2020

Broker Michael Adams in Cambridge Investment Research, INC. Firm Has Customer Complaint

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Adams (Adams), currently associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, 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 on June 03, 2020.

The client alleged the registered representative processed trades in his American Funds account without his authorization in March of 2020.