Reg BI

Broker Michael Rainbolt in LPL Financial LLC Firm Has Customer Complaint

July 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 13, 2020.

The client alleges that the financial advisor took out a margin loan on her account without her authorization.

There are Recent Customer Complaints with Broker Wilber Aguirre in Firm LPL Financial LLC

July 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 16, 2020.

The client complained that financial advisor assured her that she would not lose principal on mutual fund investment. (1/28/2020-3/9/2020)

Broker Adam Montgomery in Vanguard Marketing Corporation Firm Has Customer Complaint

July 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Montgomery (Montgomery), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Montgomery 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 $200,000.00 on March 13, 2020.

Client alleges he discussed his need for preservation of capital to build a house in the next 3-4 months but his advisor did not place adequate investment parameters on the account to preserve cash.

Broker Christopher Deyoung in Park Avenue Securities LLC Firm Has Customer Complaint

July 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Deyoung (Deyoung), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Deyoung 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 $10,000.00 on March 16, 2020.

The Customer alleged his instructions to reallocate his account holdings were not processed as expected, resulting in a $10,000 loss. The Customer is requesting to be reimbursed for the losses.

There are Recent Customer Complaints with Broker Aleksander Guriyelov in Firm J.P. Morgan Securities LLC

July 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aleksander Guriyelov (Guriyelov), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guriyelov 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 $115,000.00 on March 16, 2020.

Client alleges suitability regarding mutual fund investment. Activity dates 02/21/2020-02/21/2020.

Broker Doris Cheek in Thrivent Investment Management INC. Firm Has Customer Complaint

July 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Doris Cheek (Cheek), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Cheek 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 $22,014.00 on March 13, 2020.

Client alleges financial advisor misrepresented the tax withholding on his IRA distributions.

There are Recent Customer Complaints with Broker Gregory Kearney in Firm Cetera Investment Services LLC

July 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 13, 2020.

Customer alleged that terms of two structured notes were misrepresented and sought rescission of investments, which have declined in value by over $5,000 since purchase in November 2019. activity date: 11/21/19.

There are Recent Customer Complaints with Broker James Bologna in Firm Allstate Financial Services, LLC

July 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 13, 2020.

Customers have alleged the 12/31/2019 UIT purchases in their IRA accounts were unauthorized by them and have requested to be made whole from any commissions.

Broker Edward Delaney in Edward Jones Firm Has Customer Complaint

July 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 13, 2020.

The client alleges that the financial advisor did not liquidate his equities on January 29, 2020 as instructed.

Broker Ned Pascucci in 1st Discount Brokerage, INC. Firm Has Customer Complaint

July 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ned Pascucci (Pascucci), currently associated with 1st Discount Brokerage, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pascucci recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 16, 2020.

Time Frame: June 13, 2019 to January 10, 2020 What were the allegations against the individual? The client alleges unauthorized trading.