Securities Lawyers Blog

There are Recent Customer Complaints with Broker Chase Ambrose in Firm Morgan Stanley

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chase Ambrose (Ambrose), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Ambrose 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 $1,000.00 on January 20, 2026.

Prospective client alleges that she had an agreement with the fa to deposit $1000 of her personal funds into his personal account at morgan stanley in order to earn interest. Individual states that she has not been able to recover her principal.

There are Recent Customer Complaints with Broker Rachel Broytman in Firm LPL Enterprise, LLC

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rachel Broytman (Broytman), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Broytman 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 $38,658.92 on January 23, 2026.

Customer alleges the rep misrepresented the policy convincing him to assume the policy for the tax advantages it offered.

There are Recent Customer Complaints with Broker Blake Furgerson in Firm Stifel, Nicolaus & Company, Incorporated

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 22, 2026.

Customers allege registered representative failed to disclose the essential terms relating to an investment.

There are Recent Customer Complaints with Broker Christine Maushardt in Firm Cetera Investment Services LLC

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christine Maushardt (Maushardt), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maushardt 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 January 22, 2026.

Customer alleges she was sold an annuity that was not in her best interest.

There are Recent Customer Complaints with Broker Nathan Goad in Firm J. Alden Associates, INC.

April 9, 2026 | by Staff Attorney

Currently financial advisor Nathan Goad (Goad), currently employed by brokerage firm J. Alden Associates, INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 pending customer complaint with a damage request of $250,000.00 on January 21, 2026.

Breach of Fiduciary duty, negligence, misrepresentation based upon the recommendation by the rep Nate Goad of private placements which occurred between April 2022 and January 2023.

There are Recent Customer Complaints with Broker Sean Vappie in Firm Edward Jones

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Vappie (Vappie), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Vappie 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 $2,100,000.00 on January 26, 2026.

Customer alleges registered representative conducted an unapproved outside transaction. Activity dates 02/17/23 through 08/08/25.

There are Recent Customer Complaints with Broker Sean Fenton in Firm Morgan Stanley

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 23, 2026.

Client alleges, inter alia, misrepresentation with respect to purchases and sales of certificates of deposits and equity trading done in her account 2021-2022 damages unspecified

There are Recent Customer Complaints with Broker James Chapman in Firm Equitable Advisors, LLC

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 20, 2026.

Claimant alleges alternative investments purchased were unsuitable.

Broker David Olsen in Madison Avenue Securities, LLC Firm Has Customer Complaint

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Olsen (Olsen), previously associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olsen 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 $582,000.00 on January 20, 2026.

Claimants allege unsuitable recommendations on 1031 Exchange Alternative Investments.

Broker Larry Wilson in Raymond James Financial Services, INC. Firm Has Customer Complaint

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 21, 2026.

Plaintiff makes unarticulated and incoherent generalized allegations of \\u201cbreach of fiduciary duty\\u201d without any factual information to explain what she is referring to.