Reg BI

Broker Solomon Tobal in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

October 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Solomon Tobal (Tobal), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Tobal recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 08, 2025.

CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO COMMISSIONS CHARGED ON INDIVIDUAL TRADES AND OPENING OF MANAGED ACCOUNT 2024-2025

Broker Shalom Azar in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

October 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shalom Azar (Azar), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Azar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 05, 2025.

CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO COMMISSIONS CHARGED ON INDIVIDUAL TRADES ANDOPENING OF MANAGED ACCOUNT 2024-2025

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

October 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 11, 2025.

The client, a former Schwab associate, alleges the representative engaged in frontrunning the his account.

There are Recent Customer Complaints with Broker Mark Creason in Firm Metric Financial, LLC

October 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 10, 2025.

Unsuitable Investments, misrepresentation, omission of material facts, failure to disclose risks

Broker Michele Pearson Tucker in Edward Jones Firm Has Customer Complaint

October 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michele Pearson Tucker (Pearson Tucker), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Pearson Tucker 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 $10,000.00 on September 16, 2025.

The client alleges unauthorized liquidations resulting in capital gain taxes.

There are Recent Customer Complaints with Broker Alexander Fischman in Firm Wells Fargo Advisors Financial Network, LLC

October 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Fischman (Fischman), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Fischman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 05, 2025.

CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO COMMISSIONS CHARGED ON INDIVIDUAL TRADES AND OPENING OF MANAGED ACCOUNT 2024-2025

Broker Howard Kavinsky in Supreme Alliance LLC Firm Has Customer Complaint

October 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Kavinsky (Kavinsky), previously associated with Supreme Alliance LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Kavinsky 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 September 12, 2025.

Alleges Rep created fraudulent account statements, churned client’s account, and mismanaged funds

Broker Matthew Stratman in Western International Securities, INC. Firm Has Customer Complaint

October 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 05, 2025.

Recommendation of unsuitable investment in GWG L bond in August 2019.

Broker Michael Magruder in Raymond James & Associates, INC. Firm Has Customer Complaint

October 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Magruder (Magruder), previously associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Magruder recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 22, 2025.

Respondent Magruder failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Anita Lester in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

October 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anita Lester (Lester), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lester 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 September 18, 2025.

Claimants allege that two of the non-traded investment programs they invested in 2014 were not suitable and were misrepresented to them and failed to disclose the true risk characteristics of the investments. The claimants also state that after the representative left Berthel Fisher in 2018 that they remained in contact with the representative and were continually advised that their investments were fine and not to worry.