Securities Lawyers Blog

There are Recent Customer Complaints with Broker Robert Decker in Firm Wells Fargo Clearing Services, LLC

August 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 24, 2026.

The client complained verbally that they were sold products that did not meet their expectations. (3/5/2026 – 4/24/2026)

There are Recent Customer Complaints with Broker Alexander Staverosky in Firm Emerson Equity LLC

August 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 19, 2026.

Compensatory Damages, breach of written contract pursuant to customer agreements, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of the state Securities Act and federal securities laws, \\tviolation of Regulation Best Interest obligations (Reg BI).\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\, \\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\,

There are Recent Customer Complaints with Broker Taylor Armstrong in Firm Aurora Securities

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Taylor Armstrong (Armstrong), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Armstrong 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 $345,455.14 on April 29, 2026.

Customer alleges unsuitable investment recommendations in real estate securities.

There are Recent Customer Complaints with Broker Cooper Carden in Firm Northwestern Mutual Investment Services, LLC

August 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 18, 2026.

Client alleged that the signature on the Term Conversion form was not his and that he did not recognize or review the document. The firm rescinded the non-variable insurance policy.

There are Recent Customer Complaints with Broker Trawnegan Gall in Firm Wealthforge Securities, LLC

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Trawnegan Gall (Gall), currently associated with Wealthforge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gall 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 $100,000.00 on May 16, 2026.

From investment activity in August 2023, claimants allege the following: breach of fiduciary duty, negligence/gross negligence, misrepresentation and omission, failure to supervise, violation of Reg BI, violation of the California Securities Act, fraud, breach of contract, and unjust enrichment.

Broker Carey Rolls in Kestra Investment Services, LLC Firm Has Customer Complaint

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carey Rolls (Rolls), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rolls 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 $500,000.00 on May 13, 2026.

Customers allege that their former financial advisor directed them to invest in a non-Firm loan investment and in a separate non-Firm business venture (boat and shipping company), both of which investments were unsuitable and resulted in losses to their investment amounts. Customers assert claims of breach of fiduciary duty, fraud, and civil theft.

There are Recent Customer Complaints with Broker Marcus Decker in Firm LPL Financial LLC

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Decker (Decker), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Decker 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 $250,000.00 on May 19, 2026.

Customer\\u2019s beneficiary alleges that two investments made in 2014 were not consistent for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Robert Zink in Firm Emerson Equity LLC

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Zink (Zink), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zink 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 $10,000,000.00 on May 19, 2026.

Compensatory damages, breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA Rules, violation of California Securities Act and federal securities laws and violation of Regulation Best Interest Obligations. Investments made in 2022\,

Broker Francesco Traina in Raymond James Financial Services, INC. Firm Has Customer Complaint

August 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 08, 2026.

Plaintiff alleges that in 2015, an unauthorized bank account was opened in the Plaintiff\\u2019s company\\u2019s name and signature cards were forged by the financial advisor and an unregistered employee of Wells Fargo.

Broker Laurie Ingwersen in Aw Securities Firm Has Customer Complaint

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Laurie Ingwersen (Ingwersen), currently associated with Aw Securities, has at least one disclosable event. These events include one customer complaint, alleging that Ingwersen 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 $334,936.00 on May 14, 2026.

The customer alleges that respondents The Harvest Group Wealth Management, LLC, Roger H. Ingwersen, Laurie Ingwersen and Todd Ingwersen collectively engaged in unsuitable investment practices, misrepresentations, and failed to act on client instructions, resulting in avoidable losses. The respondents each deny all wrongdoing, and maintain that all actions were consistent with the clients' instructions and risk profiles, and attributes losses to market conditions rather than mismanagement. Customer dispute was resolved on May 7, 2026 via settlement. Respondents deny all allegations and did not admit liability. No findings were made by any regulatory body or arbitration panel.