Securities Lawyers Blog

There are Recent Customer Complaints with Broker Cole Conrad in Firm LPL Financial LLC

March 1, 2026 | by Staff Attorney

Currently financial advisor Cole Conrad (Conrad), currently employed by brokerage firm LPL Financial LLC 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 01, 2021.

The complainant alleges that the REITs that were sold to him beginning in or around 2014 were unsuitable for his conservative portfolio.

There are Recent Customer Complaints with Broker Samuel Yawson in Firm Citizens Securities, INC.

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 26, 2021.

This complaint did not meet our criteria for reporting and is only being reported now because of a Settlement of $17,758.53.

There are Recent Customer Complaints with Broker Andres Castillo in Firm Raymond James & Associates, INC.

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 28, 2021.

The customer alleges failure to follow instructions in December 2020.

There are Recent Customer Complaints with Broker Matthew Cochran in Firm Northwestern Mutual Investment Services, LLC

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Cochran (Cochran), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cochran 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 $184,000.00 on March 02, 2021.

Customers allege that from March 2016 until at least April 17, 2017, Representative provided fraudulent and defective investment advice and made false representations and omissions of material facts in connection with the sale of securities sold away from and not sanctioned by Northwestern Mutual Investment Services, with the intent to deceive the customers and in breach of his fiduciary duty. Customers allege that they did not discover Representative’s fraud, deception and mismanagement of their accounts that resulted in a total loss of their investment of $184,000.00 until March 2018.

There are Recent Customer Complaints with Broker Omar Henry in Firm Cetera Advisors LLC

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2021.

Claimant alleges that the registered representative made unsuitable recommendation.

There are Recent Customer Complaints with Broker Nicholas Baecker in Firm Thrivent Investment Management INC.

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Baecker (Baecker), previously associated with Thrivent Investment Management INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Baecker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 25, 2021.

Misstatements on applications and forged signatures

There are Recent Customer Complaints with Broker Jeffrey Zelka in Firm MML Investors Services, LLC

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Zelka (Zelka), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zelka 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 $38,000.00 on February 24, 2021.

Unsuitability, misrepresentation/omission

Broker Michael Blackham in LPL Financial LLC Firm Has Customer Complaint

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2021.

Counsel for the customer alleges unsuitable investment strategy. Activity period: 1/23/10 to 3/1/21

Broker Robert Webb in Kalos Capital, INC. Firm Has Customer Complaint

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Webb (Webb), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Webb 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 26, 2021.

Breach of contract, breach of fiduciary duty and violations of Florida securities statutes. Claimant is seeking an award in the amount of between $50,000 and $100,000, including all direct and/or consequential damages and statutory and/or punitive damages; plus interest and costs as provided by statute.

Broker Kenneth Martens in Cetera Advisors LLC Firm Has Customer Complaint

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 02, 2021.

Claimant alleges their registered representative recommended unsuitable alternative investments.