Reg BI

There are Recent Customer Complaints with Broker David Lopez in Firm Equitable Advisors, LLC

December 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 14, 2022.

Client alleges the RR misrepresented the tax implications of surrendering their annuity in 2019.

Broker Michael Mcilvoy in Edward Jones Firm Has Customer Complaint

December 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mcilvoy (Mcilvoy), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mcilvoy 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 $14,332.82 on January 13, 2022.

The client alleges that the financial advisor sold shares of T and purchased shares of AZNAX on 11/23/2021 without his authorization.

There are Recent Customer Complaints with Broker Eugene Garner in Firm LPL Financial LLC

December 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Garner (Garner), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garner 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 $650,000.00 on January 11, 2022.

Omission/misrepresentation in connection with hold recommendation of Energy 11, Energy 12 and SOAEX.

Broker David Warshaw in American Portfolios Financial Services, INC. Firm Has Customer Complaint

December 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Warshaw (Warshaw), previously associated with American Portfolios Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Warshaw 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 $68,221.00 on January 17, 2022.

The trustee alleges unauthorized distributions occurred from the trust without her permission.

There are Recent Customer Complaints with Broker Airung Liu in Firm Osaic Wealth, INC.

December 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Airung Liu (Liu), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Liu 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 $50,000.00 on January 14, 2022.

The Statement of Claim alleges the financial professional recommended an investment that was not suitable for the Claimant.

There are Recent Customer Complaints with Broker Carlos Ingram in Firm Silver Oak Securities, Incorporated

December 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Ingram (Ingram), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ingram 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 $149,828.17 on January 18, 2022.

Unauthorized liquidation of [REDACTED] individual brokerage account in January 2016.

There are Recent Customer Complaints with Broker Jose Del Valle in Firm Nationwide Planning Associates INC.

December 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Del Valle (Del Valle), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Del Valle 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 $1,000,000.00 on January 10, 2022.

Time frame: From 2013 through 2020. Allegations: Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

There are Recent Customer Complaints with Broker Sandra Mckoy in Firm Kovack Securities INC.

December 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandra Mckoy (Mckoy), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Mckoy 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 $5,000.00 on January 11, 2022.

Client alleges investment was unsuitable

There are Recent Customer Complaints with Broker James Pardy in Firm Joseph Stone Capital L.l.c.

December 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pardy (Pardy), previously associated with Joseph Stone Capital L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Pardy 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 $2,807,663.24 on January 12, 2022.

Failure to supervise

Broker Gerald Donovan in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

December 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Donovan (Donovan), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Donovan 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 $81,374.00 on January 13, 2022.

The customer alleged that he would not have transferred his funds to the Northwestern Mutual Investment Services advisory account if he would have been made aware of the tax consequences of the transaction.