Reg BI

There are Recent Customer Complaints with Broker Claude Moore in Firm LPL Financial LLC

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Claude Moore (Moore), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 June 06, 2025.

GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. Relative to specific investments made by clients, claims include violations of federal securities laws, violations ofSC Securities Act, violation of NC Securities Act, breach of contract, common law fraud, breach of fiduciary duty and, negligence and gross negligence.

There are Recent Customer Complaints with Broker Michael Montano in Firm Wells Fargo Clearing Services, LLC

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Montano (Montano), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Montano 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 $61,109.00 on May 29, 2025.

Plaintiff alleges unexpected fees were to be assessed for taking a withdrawal.

Broker Brent Penrose in Northern Trust Securities, INC. Firm Has Customer Complaint

July 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 04, 2025.

Time Frame: November 11th, 2024 to April 29th, 2025\, Client alleges he was told these investments (Alternative Investments) would be called within a year yet they have not been, creating a liability where funds cannot be invested elsewhere. Client further states the terms were mis- stated and would have never purchased these investments.

There are Recent Customer Complaints with Broker Robert Eberhard in Firm Valmark Securities, INC.

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Eberhard (Eberhard), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Eberhard 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 $100,000,000.00 on June 03, 2025.

Breach of Fiduciary Duty, Negligent Misrepresentation, Gross Negligence, and Unjust Enrichment

Broker Michael Hebert in Commonwealth Financial Network Firm Has Customer Complaint

July 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 05, 2025.

Customers allege that investments made in 2014 were unsuitable for the customers’ investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Seth Nannini in Firm Capital Investment Group, INC.

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Nannini (Nannini), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nannini 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 $80,000.00 on May 30, 2025.

Relative to a purchase of GWG Holdings L-Bonds by the client, GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022.

There are Recent Customer Complaints with Broker Eduardo Mordujovich in Firm Valmark Securities, INC.

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eduardo Mordujovich (Mordujovich), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mordujovich 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 $100,000,000.00 on June 03, 2025.

Breach of Fiduciary Duty, Negligent Misrepresentation, Gross Negligence, and Unjust Enrichment

There are Recent Customer Complaints with Broker Tony Barouti in Firm Emerson Equity LLC

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Barouti (Barouti), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Barouti 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 $25,000.00 on June 04, 2025.

Breach of fiduciary duty; negligence and negligent misrepresentation; breach of contract; overconcentration (negligence and breach of fiduciary duty); negligence-violation of Regulation Best Interest

Broker Austin Dutton in American Trust Investment Services, INC. Firm Has Customer Complaint

July 21, 2025 | by Staff Attorney

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

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

Negligence and failure to supervise

There are Recent Customer Complaints with Broker Lisa Ann Nouchi in Firm LPL Financial LLC

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Ann Nouchi (Nouchi), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nouchi 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 June 02, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.