Securities Lawyers Blog

There are Recent Customer Complaints with Broker Ioan Grigor in Firm Bankers Life Securities, INC.

April 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ioan Grigor (Grigor), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grigor 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 $3,602.00 on June 22, 2020.

In a written complaint, dated June 18, 2020, addressed to Bankers Life and Casualty Company (BLC), an insurance company affiliate of the Firm and received by the Firm on June 22, 2020, complainants alleged that a Long Term Health Care (LTC) policy purchased from BLC in 2013 was changed without their knowledge or consent and the initials on the policy change were forged. In the same complaint, it was also alleged that a Jackson National Variable Annuity purchased through Bankers Life Securities, Inc. in August of 2019 was unsuitable and contrary to their investment objectives and risk tolerance. On June 24, 2020, the complainants sent a rescission letter stating that the financial representative did not mislead them as to their investments and they had no complaints related to their investments made with the financial representative. Although the Firm’s affiliated company, BLC found no affirmative finding of forgery and closed as they did not find the complaint was actionable, the decision was made to settle the LTC Policy claim with the client. The financial representative was not involved, nor had any say in the decision to settle the dispute. BLC acted on what it believed, to be in its best interest, to settle the dispute.

There are Recent Customer Complaints with Broker Mark Wojno in Firm Berthel, Fisher & Company Financial Services, INC.

April 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2020.

The client alleges the investments he purchased in 2015 were unsuitable and misrepresented to him by the representative. The client also alleges the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Allan Montalbano in Firm Worden Capital Management LLC

April 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allan Montalbano (Montalbano), previously associated with Worden Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Montalbano 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 $543,163.00 on June 26, 2020.

Allege that between 2014-2017, reps provided unsuitable recommendations wtih unsuitable concentrations, with unreasonable commissions and failure to konw their customer

There are Recent Customer Complaints with Broker Bradley Rubin in Firm UBS Financial Services INC.

April 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Rubin (Rubin), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rubin 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 $600,000.00 on June 25, 2020.

Time frame: July 2017-Present\<char_lb_r>\, Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy

There are Recent Customer Complaints with Broker Alexis Intili in Firm Allstate Financial Services, LLC

April 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexis Intili (Intili), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Intili 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 $16,470.08 on June 22, 2020.

Customer alleges they were misled in believing that the annuity they purchased was risk adverse and was going to be earning a rate of return of 5.7%.

There are Recent Customer Complaints with Broker George Nikolakakos in Firm Td Ameritrade, INC.

April 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Nikolakakos (Nikolakakos), previously associated with Td Ameritrade, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nikolakakos 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 $543,163.00 on June 26, 2020.

Allege that between 2014-2017, reps provided unsuitable recommendations with unsuitable concentrations, with unreasonable commissions and failure to konw their customer

Broker Andrew Perri in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

April 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2020.

The client alleges the investments he purchased in 2015 were unsuitable and misrepresented to him by the representative. The client also alleges the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

Broker Paul Antevy in Fmsbonds, INC. Firm Has Customer Complaint

April 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Antevy (Antevy), currently associated with Fmsbonds, INC., has at least one disclosable event. These events include one customer complaint, alleging that Antevy 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 $500,000.00 on June 23, 2020.

Claim alleges that the broker ‘mislead and enticed’ customer into investing in low rated junk bonds.

Broker Robert Skinner in First Republic Securities Company, LLC Firm Has Customer Complaint

April 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Skinner (Skinner), previously associated with First Republic Securities Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Skinner 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 $5,000,000.01 on June 22, 2020.

For the period August 2014 to May 2019, client alleges, inter alia, that the registered representative recommended unsuitable positions in violation of FINRA rules.

Broker Barry Horowitz in Lincoln Financial Securities Corporation Firm Has Customer Complaint

April 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 23, 2020.

Claimants allege that former LFS Registered Representative Barry Horowitz improperly referred Claimants to an individual who was a known fraudster and who solicited Claimants into purchasing a promissory note. Claimants allege total damages in excess of $999,999.