Reg BI

There are Recent Customer Complaints with Broker Loren Grabau in Firm Independent Financial Group, LLC

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Loren Grabau (Grabau), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grabau 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 $213,142.00 on December 24, 2025.

Alleges accounts were subjected to high management fees, margin charges and commissions that were not suitable/appropriate and that resulted in losses.\,

Broker Nicholas Olivas in Prospera Financial Services, INC. Firm Has Customer Complaint

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Olivas (Olivas), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Olivas 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 $300,000.00 on December 23, 2025.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an investment strategy which was unsuitable for the customer’s investment objectives between January and February 2025.

Broker Rikki Foster in Concorde Investment Services, LLC Firm Has Customer Complaint

March 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 23, 2025.

Alleging unsuitability, lack of due diligence on product, breach of fiduciary duty, negligence, and failure to supervise.

There are Recent Customer Complaints with Broker Evguenia Funderburk in Firm Ameriprise Financial Services, LLC

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evguenia Funderburk (Funderburk), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Funderburk 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 $15,000.00 on December 29, 2025.

The client alleged her advisor misrepresented how funds were made available to her for withdrawal in 2022 and 2023, creating a margin loan within the client’s account.

Broker Ryan Henahan in Wealth Enhancement Brokerage Services, LLC Firm Has Customer Complaint

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Henahan (Henahan), previously associated with Wealth Enhancement Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henahan 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 $5,000.00 on December 22, 2025.

The firm received a written complaint on 12/22/2025 alleging unauthorized trades by the advisor during a transition.

There are Recent Customer Complaints with Broker Don Linzer in Firm Great Point Capital LLC

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Don Linzer (Linzer), previously associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Linzer 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 $6,411,469.90 on December 30, 2025.

Claimant alleges recommending a speculative, high=risk investments that was entirely unsuitable.

There are Recent Customer Complaints with Broker Jill Singer in Firm LPL Financial LLC

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jill Singer (Singer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Singer 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 $16,942.00 on December 28, 2025.

Customer alleges that not all terms of annuity were properly disclosed.

Broker Edward Fernandez in Capulent LLC Firm Has Customer Complaint

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Fernandez (Fernandez), currently associated with Capulent LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fernandez 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 $425,000.00 on December 29, 2025.

Claimants allege that a $371,290 investment in a Versity sponsored DST was unsuitable for them based on their investment objectives and risk tolerances.

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

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Genevieve Mar (Mar), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mar 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 December 23, 2025.

The claimants allege the investments they purchased from 2011-2016 were not suitable and were misrepresented to them.

There are Recent Customer Complaints with Broker Lynn Nicolaysen in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lynn Nicolaysen (Nicolaysen), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Nicolaysen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 30, 2025.

The clients alleged they did not authorize the liquidation of their account in October 2025.