Securities Lawyers Blog

There are Recent Customer Complaints with Broker Nicholas Cannady in Firm Nylife Securities LLC

July 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 06, 2020.

Customer alleges the Variable Annuity policy she purchased in June 2018 contains a multitude of restrictions that were not clearly explained to her at the time of sale.

Broker Danny Sookram in Equitable Advisors, LLC Firm Has Customer Complaint

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danny Sookram (Sookram), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sookram 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 $86,078.00 on March 09, 2020.

Time frame: unspecified. Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.

Broker Kyle Roelofs in Lincoln Financial Advisors Corporation Firm Has Customer Complaint

July 30, 2026 | by Staff Attorney

Previously financial advisor Kyle Roelofs (Roelofs), previously employed by brokerage firm Lincoln Financial Advisors Corporation has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

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

Client alleges the RR sold unsuitable high-risk private placement investments

Broker Robert Buffington in Aegis Capital Corp. Firm Has Customer Complaint

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Buffington (Buffington), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Buffington 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 $642,224.00 on March 09, 2020.

Time frame: unspecified. Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.

There are Recent Customer Complaints with Broker Sherry Rowland in Firm UBS Financial Services INC.

July 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 09, 2020.

Time Frame: February 20, 2020 to March 9, 2020 \<char_lb_r>\, The client alleges his instructions to enter his trades were not followed.

There are Recent Customer Complaints with Broker Nicole Bertsch in Firm American Independent Securities Group, LLC

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Bertsch (Bertsch), previously associated with American Independent Securities Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bertsch 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 $6,666.67 on March 05, 2020.

Clients alleged breach of fiduciary duty, misrepresentation, violation of Indiana State Securities Laws

There are Recent Customer Complaints with Broker Alfonso Boneta in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfonso Boneta (Boneta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Boneta 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 $500,000.00 on March 06, 2020.

Time frame: Unspecified Allegations: Claimant alleges the recommendation to hold Puerto Rico Municipal Bonds was unsuitable, and that her accounts were unsuitably over-concentrated in those investments. Claimant further alleges that the risk of concentration in Puerto Rico investments was misrepresented.

There are Recent Customer Complaints with Broker Michael Mosslih in Firm Equitable Advisors, LLC

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mosslih (Mosslih), currently associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mosslih 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 $5,000.00 on February 17, 2026.

Client alleges VUL policy purchased in 2025 was not suitable for his financial needs.

There are Recent Customer Complaints with Broker Jason Murphy in Firm LPL Financial LLC

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Murphy (Murphy), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $500,000.00 on March 09, 2020.

Plaintiffs allege that advisor recommended an unsuitable variable life insurance policy and misrepresented the terms and benefits of the policy. Activity period: 6/29/07 to 6/3/19.

Broker John Bliss in Kingswood Capital Partners, LLC Firm Has Customer Complaint

July 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 06, 2020.

The client alleges his Financial Professional failed to follow instructions to put on stop orders on positions resulting in losses.