Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jesse Raines in Firm Cetera Wealth Services, LLC

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesse Raines (Raines), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raines 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 $5,000.00 on October 05, 2020.

Clients allege they were not told about the surrender charges and the tax liability they would incur when they surrendered their contract in August 2020.

Broker Jenna Kang in Axa Advisors, LLC Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jenna Kang (Kang), previously associated with Axa Advisors, LLC, has at least 9 disclosable events. These events include 8 customer complaints, one regulatory event, alleging that Kang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 08, 2020.

Without admitting or denying the findings, Kang consented to the sanction and to the entry of findings that she refused to produce the information and documents requested by FINRA in connection with its investigation into whether Kang had signed customer signatures on her member firm’s documents.

Broker Derek Ghiotto in Pnc Wealth Management LLC Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Ghiotto (Ghiotto), currently associated with Pnc Wealth Management LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ghiotto 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 $60,000.00 on October 07, 2020.

Client alleges breach of fiduciary duty and contract related to a managed account asset allocation change that occurred on, or about March 17, 2020.

There are Recent Customer Complaints with Broker Ronald Hoyle in Firm J.w. Cole Financial, INC.

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Hoyle (Hoyle), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoyle 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 $400,000.00 on October 05, 2020.

Client alleges misrepresentation of investments sold by RR.

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

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Boggs (Boggs), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Boggs 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 $23,317.98 on October 06, 2020.

Firm proactively reached out to client and presented possible fraudulent withdrawals from client’s account from February 2016 to July 2016.. Client confirmed charges in the amount of $23,317.98 were not authorized.

There are Recent Customer Complaints with Broker Matthew Mccoy in Firm Purshe Kaplan Sterling Investments

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Mccoy (Mccoy), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Mccoy 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 $150,000.00 on October 06, 2020.

Client alleges Unsuitable investment into GPB Automotive Portfolio, LP and GPB Capital Holdings II, purchased through Mr. McCoy’s Registered Investment Advisory firm, away from Purshe Kaplan Sterling Investments.

There are Recent Customer Complaints with Broker Robert Star in Firm IBN Financial Services, INC.

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Star (Star), currently associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Star 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 October 08, 2020.

Negligence, Misrepresentation, Breach of Fiduciary Duty

Broker Ryan Stevens in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

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

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

Client complains that the financial advisor did not advise that she would be giving up lifetime income on an annuity that was surrendered and reinvested into a managed account. (6/3/2020-9/30/2020)

Broker Raymond Thill in Charles Schwab & Co., INC. Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Thill (Thill), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Thill 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 $4,000,000.00 on September 30, 2020.

Clients allege the representative provided a financial plan in 2017 which undercounted the Client’s anticipated withdrawals and provided an inaccurate probability that the Clients would achieve their retirement goals.

Broker Thomas Borich in Edward Jones Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 07, 2020.

Client alleges financial advisor did not disclose the commissions. Client further alleges, poor recommendation and poor advice from financial advisor regarding his December 2019 equity purchases.