Securities Lawyers Blog

There are Recent Customer Complaints with Broker Kaley Mora in Firm Edward Jones

May 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 17, 2020.

The client alleges the FA was mistaken when she advised that the transaction requested would be complete in one day where the transaction did not complete for 2 full business days causing market loss for the additional day.

There are Recent Customer Complaints with Broker John Arndt in Firm Raymond James Financial Services, INC.

May 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Arndt (Arndt), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Arndt 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 $140,000.00 on June 15, 2020.

Breach of fiduciary duty, negligence, breach of contract, fraud, misrepresentation, failure to\<char_lb_r>\, supervise, failure to execute, negligent hiring, and violations of the conduct rules of FINRA.

Broker David Nicholas in World Equity Group, INC. Firm Has Customer Complaint

May 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Nicholas (Nicholas), currently associated with World Equity Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nicholas 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 $125,000.00 on June 18, 2020.

Clients alleged breach of fiduciary duty and negligence in regard to the purchase of a real estate security.

There are Recent Customer Complaints with Broker Jeffrey Glusman in Firm Suntrust Investment Services, INC.

May 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Glusman (Glusman), previously associated with Suntrust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Glusman 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 $2,800,000.00 on June 17, 2020.

The customers allege misrepresentations from 2012 until 2017.

Broker Jeffrey Oliverio in Truist Investment Services, INC. Firm Has Customer Complaint

May 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Oliverio (Oliverio), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Oliverio 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 $536,513.00 on June 19, 2020.

Oliverio was a subject of the customer’s complaint against his member firm and/or other named respondents that asserted the following causes of action: violation of the Business Conduct Rule, FINRA Rule 2010 (standards of commercial honor and principles of trade); violation of FINRA Rule 2020 (use of manipulative, deceptive and other fraudulent devices); violation of FINRA Rule 2111 (suitability); violation of FINRA Rule 3260 (discretionary accounts); violation of FINRA Rule 3110 (supervision); breach of fiduciary duty; breach of a broker’s duty of reasonable care; breach of a broker’s duty to supervise and ensure compliance with firm and industry rules; negligence; and fraud and deceit.

Broker Elsie Torres Olmo in Popular Securities, LLC Firm Has Customer Complaint

May 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elsie Torres Olmo (Torres Olmo), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Torres Olmo 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 $180,000.00 on June 18, 2020.

Claimant alleged that Financial Consultant investment recommendations to purchase P.R. Securities were unsuitable in light of the clients’ risk tolerance. Claimants also alleged that recommendations made by the Financial Consultant were outrageous in light of Puerto Rico’s well known deteriorating financial condition.

There are Recent Customer Complaints with Broker Ian Baker in Firm LPL Financial LLC

May 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Baker (Baker), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 $10,966.86 on June 16, 2020.

Claimant alleges that her Financial Representative made two unsuitable investments in a managed account, which were ultimately sold at a loss to claimant. Activity period: 6/12/2018-5/29/2019

Broker Shlomo Strugano in First Allied Securities, INC. Firm Has Customer Complaint

May 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shlomo Strugano (Strugano), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Strugano 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 17, 2020.

Claimant alleges former financial adviser recommended unsuitable alternative investments and misappropriated money through an outside power of attorney entity. Claimant’s alleges unsuitability, breach of fiduciary duty, negligence, misrepresentation and elder abuse.

There are Recent Customer Complaints with Broker Dan Avery in Firm Waddell & Reed

May 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dan Avery (Avery), previously associated with Waddell & Reed, has at least one disclosable event. These events include one customer complaint, alleging that Avery 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 $73,500.00 on June 16, 2020.

Clients, through attorney, allege that, contrary to representations and assurances, the RR did not execute sell orders on March 6, 2020, resulting in loses to their accounts.

There are Recent Customer Complaints with Broker Ezri Shechter in Firm Spencer-winston Securities Corporation

May 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ezri Shechter (Shechter), previously associated with Spencer-winston Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Shechter 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 June 18, 2020.

Unauthorized trading, use of discretion, suitability