Securities Lawyers Blog

Broker Caleb Stephens in Park Avenue Securities LLC Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Caleb Stephens (Stephens), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stephens 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 $72,000.00 on January 17, 2021.

The client alleges that the financial advisor provided poor advice regarding July 2017 IRA distribution.

There are Recent Customer Complaints with Broker David Weisberg in Firm Worden Capital Management LLC

April 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $47,629.58 on January 15, 2021.

Churning and quantitative unsuitability, misrepresentation and unsuitability. The alleged activity occurred between October\<char_lb_r>\, 2017 and December 2019.

Broker Johnny Rutledge in LPL Financial LLC Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2021.

Claimants allege their financial professional recommended they invest in a municipal bond, a corporate debenture and an open-end mutual fund that were unsuitable for their investment portfolio. Activity period: 11/2016 to 12/20.

There are Recent Customer Complaints with Broker Christian Maguire in Firm Morgan Stanley

April 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 12, 2021.

Client alleges that she did not authorize the sale of stocks in her trust account in January 2020. damages unspecified

There are Recent Customer Complaints with Broker Christopher Black in Firm LPL Financial LLC

April 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on January 12, 2021.

Without admitting or denying the findings, Black consented to the sanction and to the entry of findings that he refused to provide information and documents that were requested by FINRA in connection with an investigation into circumstances of his termination from his former member firm. The findings stated that Black’s former firm filed a Form U5 stating that it had terminated Black for entering into undisclosed loan arrangements with a customer without providing notice to the firm.

Broker Robert Genito in PFS Investments INC. Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Genito (Genito), previously associated with PFS Investments INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Genito 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 $90,000.00 on January 12, 2021.

Customer alleges genito failed to repay a promissory note issued to customer for the beneift of genito’s outside business.

Broker Christopher Jennings in Osaic Institutions, INC. Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jennings (Jennings), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jennings 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 $16,500.00 on January 15, 2021.

Client alleges investments not made despite systematic deposits; Does not believe C-Shares were appropriate; one account has too much cash to be in line with her wishes; no reviews done

There are Recent Customer Complaints with Broker Christopher Carolan in Firm Kingswood Capital Partners, LLC

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Carolan (Carolan), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carolan 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 $56,463.30 on January 13, 2021.

Claimant alleges, unauthorized trading with respect to investments – Jun, 2012 – Sep, 2019

Broker Vincent Egan in Benjamin F. Edwards & Company, INC. Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Egan (Egan), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 January 12, 2021.

On January 12, 2021 client questioned why she was seeing cash in her account and not security ARKK as she gave instructions to purchase the security on December 17, 2020.

There are Recent Customer Complaints with Broker Russell Stellfox in Firm Calton & Associates, INC.

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Stellfox (Stellfox), currently associated with Calton & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stellfox 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 $146,628.00 on January 15, 2021.

FINRA Arbitration 21-00050 in which claimants allege failure to supervise purchases in brokerage account and annuity.