Reg BI

There are Recent Customer Complaints with Broker Jon Paul Cirelli in Firm Alexander Capital, L.p.

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Paul Cirelli (Cirelli), currently associated with Alexander Capital, L.p., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Cirelli recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 24, 2025.

Claimants allege breach of fiduciary duty, unsuitability, reasonable basis for recommendation. In or around 2022.

Broker Stewart Ginn in Independent Financial Group, LLC Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stewart Ginn (Ginn), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ginn 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.

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

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lagrange (Lagrange), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lagrange 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 $577,239.00 on January 05, 2026.

Suitability/negligence 2020

There are Recent Customer Complaints with Broker Andrew Roberson in Firm Emerson Equity LLC

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Roberson (Roberson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roberson 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 $570,000.00 on January 07, 2026.

Customer alleges the representative recommended and facilitated an unapproved private “solar program” investment, which was unsuitable and involved misrepresentations and omissions, resulting in substantial losses. Customer also alleges inadequate supervision by firm. \, Information contained herein was obtained by the U5 amended filing by Park Avenue Securities.

There are Recent Customer Complaints with Broker Victor Rodriguez in Firm Edward Jones

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Rodriguez (Rodriguez), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 December 23, 2025.

Authorized party for HOA alleges that Financial Advisor represented that invested in a 20 year treasury bond with a 4.61% interest rate was a highly liquid investment with good rate of return. However,\, following purchase of the bond, authorized party became aware that the interest rate is 2.61 percent and as of now has an unrealized loss of $25,000.

Broker William Tunink in LPL Financial LLC Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tunink 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 $75,000.00 on January 08, 2026.

Advisor borrowed funds from customer for investment opportunity away from the Firm.

There are Recent Customer Complaints with Broker Steven Cho in Firm Herbert J. Sims & Co, INC.

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Cho (Cho), currently associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cho 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 $100,000.00 on December 30, 2025.

Unsuitable, misrepresentation 4/29/2019 to 9/20/2020

Broker Timothy Dabulis in Paulson Investment Company LLC Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Dabulis (Dabulis), previously associated with Paulson Investment Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dabulis 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 January 09, 2026.

Customer invested 25k in GWG Lbonds in October 2020. Since the client lost all her principle and interest, they are asking to recover the losses.\,

There are Recent Customer Complaints with Broker Stuart Valen in Firm Equitable Advisors, LLC

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stuart Valen (Valen), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valen 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 31, 2025.

Customer alleges RR misrepresented VA Annuities sold from 2019 to 2024.

Broker Thomas Curran in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Curran (Curran), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Curran 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 $213,614.15 on December 24, 2025.

The clients alleged the advisor incorrectly sold positions in their NQ Ameriprise Select Separate accounts, as opposed to processing an in-kind transfer as requested, causing significant capital gains in March 2024.