Securities Lawyers Blog

Broker Adam Roberts in Equity Services, INC. Firm Has Customer Complaint

March 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 10, 2021.

Client alleges misrepresenatation in the sale of tax shelterd annuity in 2019

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

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Moses Salib (Salib), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Salib recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 09, 2021.

The customer alleges misrepresentation when the Financial Advisor discussed Individual Retirement Account (IRA) options, but failed to confirm pricing with the customer. Instead, the advisor transferred the customer to open a new account rather than place the trade; therefore, the customer suffered a loss.

There are Recent Customer Complaints with Broker Michael Mare in Firm Mutual Securities, INC.

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mare (Mare), previously associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mare 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 $85,000.00 on February 16, 2021.

Client alleges that around May 2014, the representative recommended alternative investment products that were misrepresented and unsuitable based on the client’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Dan Vismor in Firm David Lerner Associates, INC.

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dan Vismor (Vismor), previously associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vismor 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 $125,000.00 on February 11, 2021.

The customer alleges that JP Turner allowed its Registered Representatives to recommend unsuitable investments. No dates were provided within Statement of Claim. The investments took place at the Registered Representatives prior broker/dealer

There are Recent Customer Complaints with Broker John Nguyen in Firm Money Concepts Capital CORP

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Nguyen (Nguyen), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Nguyen 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 $5,000,000.00 on February 13, 2021.

Customer alleges over-concentration, misrepresentations, omissions, and unsuitable recommendations in regards to the purchase of alternative and annuity investments.

There are Recent Customer Complaints with Broker Michael Salerno in Firm Alexander Capital, L.p.

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Salerno (Salerno), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Salerno 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 February 12, 2021.

Unsuitablility

There are Recent Customer Complaints with Broker Miguel Rivera in Firm Westpark Capital, INC.

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Miguel Rivera (Rivera), previously associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rivera 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 $100,000.00 on February 13, 2021.

Client alleges rep recommended trades that were not suitable and breach of fiduciary duty

Broker Patricia Gleason in Raymond James Financial Services, INC. Firm Has Customer Complaint

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Gleason (Gleason), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gleason 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 February 12, 2021.

Claimants allege that their registered representative recommended unsuitable alternative investments.

Broker Paul Price in Raymond James & Associates, INC. Firm Has Customer Complaint

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Price (Price), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Price 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 $19,096.28 on February 10, 2021.

Client alleges unauthorized trading and uninvested credit balances. Allegation Activity Dates: 3/1/2017 – 1/29/2021.

There are Recent Customer Complaints with Broker Jeffrey Falke in Firm Kingswood Capital Partners, LLC

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Falke (Falke), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Falke 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 $75,000.00 on February 12, 2021.

Counsel for the customers alleges unsuitability with respect to preferred stocks.