Securities Lawyers Blog

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

May 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Korn (Korn), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Korn 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 $41,298.68 on March 20, 2024.

The customer alleges they received incorrect information from a firm employee regarding use of a vanguard check to remit irs payment, resulting in penalties and interest, and seeks reimbursement.

There are Recent Customer Complaints with Broker Nicholas Rhode in Firm Baker Tilly Capital, LLC

May 26, 2026 | by Staff Attorney

Currently financial advisor Nicholas Rhode (Rhode), currently employed by brokerage firm Baker Tilly Capital, 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 pending customer complaint with a damage request of $200,000.00 on October 06, 2025.

The claimant invested in a private placement 12/30/2020 and now claims that the firm failed to perform adequate due diligence of the private placement.

There are Recent Customer Complaints with Broker Tracey Nguyen in Firm Baker Tilly Capital, LLC

May 26, 2026 | by Staff Attorney

Previously financial advisor Tracey Nguyen (Nguyen), previously employed by brokerage firm Baker Tilly Capital, 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 pending customer complaint with a damage request of $200,000.00 on October 06, 2025.

The claimant invested in a private placement 12/30/2020 and now claims that the firm failed to perform adequate due diligence of the private placement.

There are Recent Customer Complaints with Broker Jason Payne in Firm Charles Schwab & Co., INC.

May 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 30, 2025.

Client alleges that they were not properly advised regarding irs rules and tax implications associated with an indirect ira rollover, including limitations related to multiple distributions, resulting in potential financial harm.

There are Recent Customer Complaints with Broker Michael Todd in Firm Axa Advisors, LLC

May 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Todd (Todd), previously associated with Axa Advisors, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Todd 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 $147,000.00 on May 07, 2025.

This litigation arises from a series of unsuitable financial product and investment strategy recommendations made by Defendants to Plaintiff between May 2018 and February 2023.

There are Recent Customer Complaints with Broker Michael Shillin in Firm A.g.p. / Alliance Global Partners

May 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Shillin (Shillin), previously associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Shillin 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 $495,000.00 on June 04, 2025.

Clients allege misrepresentation of products, failure to conduct proper due diligence of investments and failure to supervise from May 2018 to April 2022.

Broker Elvis Beslagic in Td Ameritrade, INC. Firm Has Customer Complaint

May 26, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Elvis Beslagic (Beslagic), previously associated with Td Ameritrade, INC., has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Beslagic concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $120,750.10 on December 19, 2022.

Elvis Beslagic was named in a customer complaint that asserted the following causes of action: violation of Section 10(b) of the Securities Exchange Act of 1934 and Securities Exchange Commission Rule 10b-5 promulgated thereunder for churning, general anti-fraud, unsuitable securities and transactions as part of a scheme to defraud, discretionary and unauthorized trading and breach of fiduciary duty.

Broker Robert Armstrong in Dawson James Securities, INC. Firm Has Customer Complaint

May 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Armstrong (Armstrong), previously associated with Dawson James Securities, INC., 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 settled customer complaint with a damage request of $2,330,000.00 on August 29, 2022.

Customer alleges in statement of claim breach of fiduciary duty and negligence in regards to unsold shares of HCMC.

Broker John Desselle in the Leaders Group, INC. Firm Has Customer Complaint

May 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Desselle (Desselle), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Desselle 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 $30,085.00 on July 17, 2023.

The Complainant alleges that the representative failed to disclose to the Complaintant that a transaction would result in a taxable event.

Broker Alberto Roditi in Oppenheimer & CO. INC. Firm Has Customer Complaint

May 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alberto Roditi (Roditi), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Roditi 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 $2,000,000.00 on February 20, 2024.

Plaintiffs alleged that they were not sufficiently informed of risks of positions following losses during March of 2020, that IAR was not sufficiently supervised, and that exceeding maximum drawdown objectives constituted a breach of contract.