Securities Lawyers Blog

There are Recent Customer Complaints with Broker Joannah Keller in Firm Transamerica Financial Advisors, LLC

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joannah Keller (Keller), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Keller 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 $8,124.00 on February 20, 2026.

Client alleges that rep misrepresented an unsuitable VUL as a requirement to obtain long term care coverage, but the long term care coverage never materialized.

Broker Zhi Ying Guan in Emerson Equity LLC Firm Has Customer Complaint

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zhi Ying Guan (Guan), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guan 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 $50,000.00 on February 19, 2026.

Breach of contract, violation of securities laws and Regulation Best Interest

Broker Bertram Johnson in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bertram Johnson (Johnson), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $6,548.04 on February 23, 2026.

Client alleged theft of funds from a Bank of America checking account on January 12, 2026

There are Recent Customer Complaints with Broker Orian Fridner in Firm Independent Financial Group, LLC

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Orian Fridner (Fridner), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fridner 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 $120,000.00 on February 20, 2026.

Alleges investment was unsuitable

There are Recent Customer Complaints with Broker Nick Centis in Firm J.P. Morgan Securities LLC

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nick Centis (Centis), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Centis 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 $10,953,568.00 on February 25, 2026.

Customer alleges unsuitable investment recommendation in investment accounts. Activity dates April 2021 – March 2023.

Broker John Schiro in Raymond James & Associates, INC. Firm Has Customer Complaint

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Schiro (Schiro), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schiro 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 $41,459.67 on February 24, 2026.

The Firm received a written customer complaint alleging various claims, including but not limited to unsuitable investments.

There are Recent Customer Complaints with Broker Gabriel Swan in Firm LPL Financial LLC

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gabriel Swan (Swan), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Swan 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 $180,000.00 on February 25, 2026.

Customer alleges the representative failed to stop the Customer from withdrawing funds from his own accounts that the Customer then invested in an allegedly fraudulent scheme.

Broker Dimitry Tikhonov in Madison Avenue Securities, LLC Firm Has Customer Complaint

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dimitry Tikhonov (Tikhonov), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tikhonov 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 $340,000.00 on February 24, 2026.

Unsuitable recommendations. Alleged activity occurred between September 2013 and November 2025.

Broker Dan Vismor in David Lerner Associates, INC. Firm Has Customer Complaint

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dan Vismor (Vismor), previously associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vismor 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 25, 2026.

Unsuitability, misrepresentation and omission and breach of fiduciary duty. Allegation period: April 25, 2018, the date of the first purchase of E12 to February 25, 2026 the date the SOC was received.

Broker William Rowett in Centaurus Financial, INC. Firm Has Customer Complaint

June 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 24, 2026.

The customer alleges that during the period August 2019 through September 2022, the Registered Representative’s investment recommendations, and/or strategy, and/or transactions violated FINRA rules 2010, 2020, 2090, and 2011.