Securities Lawyers Blog

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There are Recent Customer Complaints with Broker James Holmes in Firm Wells Fargo Clearing Services, LLC

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Holmes (Holmes), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Holmes recommended unsuitable investments in different investment products including debt securities among…

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Broker Jacque Kuchta in UBS Financial Services INC. Firm Has Customer Complaint

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

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Broker Brent Pine in Cetera Advisor Networks LLC Firm Has Customer Complaint

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

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There are Recent Customer Complaints with Broker Jason Hooz in Firm Nylife Securities LLC

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

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Broker Kenneth Shotsberger in Equitable Advisors, LLC Firm Has Customer Complaint

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

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There are Recent Customer Complaints with Broker James Haling in Firm Cambridge Investment Research, INC.

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Haling (Haling), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Haling  concern allegations of high frequency trading…

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There are Recent Customer Complaints with Broker Benjamin Labadie in Firm J.P. Morgan Securities LLC

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

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There are Recent Customer Complaints with Broker Mikhail Leyon in Firm MML Investors Services, LLC

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mikhail Leyon (Leyon), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leyon recommended unsuitable investments in different investment products including debt securities among other…

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Broker David Curry in Arkadios Capital Firm Has Customer Complaint

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

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Broker Eric Kleiner in Morgan Stanley Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Kleiner (Kleiner), previously associated with Morgan Stanley, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Kleiner recommended unsuitable investments in different investment products including debt securities among other allegations and…

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