Securities Lawyers Blog

There are Recent Customer Complaints with Broker Andrew Andreotta in Firm LPL Financial LLC

June 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 26, 2026.

The customers submitted a notarized affidavit of forgery alleging that their signatures on a wire request form dated November 21, 2025 were forged and that they did not authorize the associated transfer of funds. The customers further allege that additional account documentation was reused or included in connection with other transactions without their knowledge and that related fund transfers were effected without their authorization.

There are Recent Customer Complaints with Broker John Griep in Firm UBS Financial Services INC.

June 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 26, 2026.

Time Frame: June 17th, 2025 to July 23rd, 2025\, \, What were the allegations against the individual? The client alleges that his Financial Advisor failed to follow his instructions by moving money from his traditional IRA to cover a townhouse purchase, instead of from his Roth IRA. The client further alleges, by failing to follow his instructions, this caused him tax implications, which he wants resolved.

Broker Alexander Mclachlin in Independent Investment Bankers, Corp. Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Mclachlin (Mclachlin), currently associated with Independent Investment Bankers, Corp., has at least one disclosable event. These events include one customer complaint, alleging that Mclachlin 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 $18,000.00 on March 02, 2026.

Claimant alleges breach of contract and related claims arising from a capital raising engagement agreement dated January 14, 2025, and extension amendment dated May 19, 2025, between Independent Investment Bankers Corp. and Tackle Enterprises, LLC. Claimant alleges inadequate services were performed during the engagement period of January through July 2025 and seeks return of engagement fees paid. Respondent denies all allegations and intends to contest the claims vigorously. No securities product was involved in the engagement.

Broker Benjamin Duckett in Morgan Stanley Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2026.

Client alleged, inter alia, that covered call option strategy implemented in his account was misrepresented leading to the loss of some of his shares that were called and the chance to participate in the appreciate of the stock

Broker Justin Sheik in First Citizens Investor Services, INC. Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Justin Sheik (Sheik), currently employed by First Citizens Investor Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Sheik’s most recent customer complaint alleges that Sheik recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $13,700.00 on February 27, 2026.

Client alleges poor recommendation/poor advice regarding Structured Capital Strategies Plus 21 Series B investment. Activity dates 02/17/2026-02/17/2026

Broker Samuel Duckett in Morgan Stanley Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2026.

Client alleged, inter alia, that covered call option strategy implemented in his account was misrepresented leading to the loss of some of his shares that were called and the chance to participate in the appreciate of the stock

Broker Ursuline Azul in J.P. Morgan Securities LLC Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ursuline Azul (Azul), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Azul 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 $37,915.00 on February 27, 2026.

Customer alleges a mutual fund exchange resulted in an unexpected tax liability. Activity dates 6.6.25 – 6.6.25.

There are Recent Customer Complaints with Broker Austin Bowlin in Firm Aurora Securities

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Bowlin (Bowlin), currently associated with Aurora Securities, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Bowlin 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 $1,533,004.26 on February 26, 2026.

Customer alleges unsuitable investment recommendation in real estate security.

Broker Andrew Gentiluomo in Vanderbilt Securities, LLC Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 02, 2026.

Client seeks reimbursement for the loss on an investment in 2023 she alleges was recommended by the FA. She alleges the FA failed to advise her that her investment could not be used for a Required Minimum Distribution from her IRA, causing tax issues, illiquidity of the investment and a loss upon the failure of the business.

Broker Roderick Uy in LPL Financial LLC Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Uy (Uy), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Uy 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 $750,000.00 on February 26, 2026.

Customers allege misrepresentations regarding unnecessary and improper trades from 2016-2025.