Securities Lawyers Blog

There are Recent Customer Complaints with Broker Thomas Rindahl in Firm Osaic Wealth, INC.

June 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 28, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Jeremy Lindquist in MML Investors Services, LLC Firm Has Customer Complaint

June 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 03, 2024.

The complainant alleges that the variable annuity she purchased from her registered representative, on or about February 25, 2021, was unsuitable, and is looking to reverse the contract.

There are Recent Customer Complaints with Broker Jennifer Breton in Firm Valmark Securities, INC.

June 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Breton (Breton), currently associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Breton 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 $45,166.00 on March 05, 2024.

The client expressed dissatisfaction with receiving a lower-than-expected monthly payment from a Single Premium Immediate Annuity. The client alleged they were misled regarding the impact of a paperwork delay on their ultimate monthly payment. The client requested they receive the originally-quoted monthly amount.

There are Recent Customer Complaints with Broker Deborah Jackman in Firm UBS Financial Services INC.

June 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 29, 2024.

Petitioner, the stepson and successor personal representative of his stepmother’s estate, alleges that Ms. Jackman exerted undue influence over the decedent, embezzled and alienated decedent’s property, and financially exploited the decedent.

There are Recent Customer Complaints with Broker Stanley Weiden in Firm David Lerner Associates, INC.

June 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 29, 2024.

Unsuitability. Client did not allege a dollar amount in damages and submitted his complaint almost 6 years after his investment.

There are Recent Customer Complaints with Broker John Sullivan in Firm Stonehaven, LLC

June 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Sullivan (Sullivan), previously associated with Stonehaven, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 $200,000.00 on February 29, 2024.

Plaintiff alleges that placement agent, Respondent(s), did not perform adequate due diligence on their client, NexUS 1, LLC. Respondent(s) confirm that extensive due diligence was performed upfront and ongoing on their client, but the client withheld material information in its responses, allowing Respondent(s) to conclude that no material issues were present with the offering.

There are Recent Customer Complaints with Broker Jonas Everett in Firm LPL Financial LLC

June 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonas Everett (Everett), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Everett 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 $25,000.00 on March 01, 2024.

The Statement of Claim alleges the financial professional recommended a speculative, illiquid, high commission product that was unsuitable for the clients. It is alleged this recommendation exposed clients to unnecessary risk.

Broker Thomas Macdonnell in Centaurus Financial, INC. Firm Has Customer Complaint

June 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 28, 2024.

The customers allege that the Registered Representative recommended unsuitable investments and investment strategies in various illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Thomas Pearson in Principal Securities, INC. Firm Has Customer Complaint

June 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Pearson (Pearson), previously associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pearson 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 $5,001.00 on February 29, 2024.

The complainant alleges negligence, breach of fiduciary duty, conversion, forgery and fraud, beginning on/or about September 2003, relative to an IRA account, Variable and Fixed Annuities.

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

June 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Bailey (Bailey), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Bailey 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 $500,000.00 on February 29, 2024.

The client alleges starting in or around 2018, the representative provided poor advice by implementing a strategy that is inconsistent with how the funds are supposed to be used.