Securities Lawyers Blog

There are Recent Customer Complaints with Broker Wilmer Cordoba in Firm Centaurus Financial, INC.

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wilmer Cordoba (Cordoba), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cordoba 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 $74,340.00 on February 18, 2021.

Claimante alleges, inter alia, misrepresentation with repect to selling options in June, 2020.

Broker Zachary Bader in National Securities Corporation Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on February 18, 2021.

Respondent Bader failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Steven Light in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Light (Light), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Light recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 22, 2021.

Client alleges the representative didn’t update their risk tolerance as instructed and as a result missed out on market gains.

Broker Taylor Ripka in LPL Financial LLC Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 19, 2021.

The clients allege the investments they purchased in 2013-2019 were unsuitable, illiquid, and misrepresented to them by the representative. Additionally, the clients allege the firm failed to supervise the actions of the representative and to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Tyler Jinks in Firm Edward Jones

March 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 17, 2021.

The client alleges the financial advisor failed to advise the client that he would have an early withdrawal penalty from his EDJ IRA prior to rolling over his Fidelity 401k to EDJ.

There are Recent Customer Complaints with Broker Michael Stocksick in Firm J.P. Morgan Securities LLC

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Stocksick (Stocksick), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stocksick 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 17, 2021.

Allegations include that in 2015 the financial professional recommended high-commission, complex, risky alternative investments and illiquid investment products.

There are Recent Customer Complaints with Broker Jeffrey Friedman in Firm Cetera Investment Services LLC

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Friedman (Friedman), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Friedman 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 $50,000.00 on February 23, 2021.

Claimant alleges that their request to liquidate was not made promptly

Broker Christopher Hasbrouck in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hasbrouck (Hasbrouck), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hasbrouck recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 19, 2021.

The clients allege the investments they purchased from 2013-2015 were unsuitable, illiquid, and misrepresented to them by the representative. Additionally, the clients allege the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Matthew Nelson in Firm Cambridge Investment Research, INC.

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Nelson (Nelson), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $2,200,000.00 on February 16, 2021.

Statement of Claim alleges Claimants were sold multiple alternative investments based on material misrepresentations and omissions. Claimants allege they were over-concentrated in high-risk, high-commission and speculative alternative investments.

Broker Daniel Wyson in Commonwealth Financial Network Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Wyson (Wyson), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Wyson 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 $80,000.00 on February 23, 2021.

Customer alleges purchases of various alternative investments were unsuitable.