Reg BI

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

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Desherlia (Desherlia), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Desherlia 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 April 13, 2026.

Suitability/negligence. 2020-2021

There are Recent Customer Complaints with Broker Christopher Gardner in Firm Signature Estate Securities, LLC

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Gardner (Gardner), currently associated with Signature Estate Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gardner 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 $4,000,000.00 on April 13, 2026.

Allegations of breach of fiduciary duty.

There are Recent Customer Complaints with Broker Ryan Finch in Firm Emerson Equity LLC

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Finch (Finch), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Finch 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 $676,000.00 on April 16, 2026.

Breach of fiduciary duty, constructive fraud, negligence and negligence per se, Violations of the Colorado Securities Act, breach of contract. Investments made between 2021 – 2025

There are Recent Customer Complaints with Broker Eric Johnson in Firm LPL Financial LLC

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Johnson (Johnson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $1,648,579.20 on April 13, 2026.

The estate alleges that the registered representative changed the beneficiaries without permission.

There are Recent Customer Complaints with Broker Chad Stranlund in Firm Equitable Advisors, LLC

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Stranlund (Stranlund), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stranlund 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 April 21, 2026.

Client alleges RR failed to disclose costs associated with a VUL policy purchased in 2025.

There are Recent Customer Complaints with Broker Donald Genord in Firm Level Four Financial, LLC

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Genord (Genord), currently associated with Level Four Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Genord 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 $168,338.00 on April 27, 2026.

Don genord failed to provide advice relating to the annuitization of an annuity during the time frame of February 8, 2023 (the notice date) and April 10, 2013 (the annuitization date).

There are Recent Customer Complaints with Broker Shaun Stein in Firm Arete Wealth Management, LLC

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shaun Stein (Stein), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stein 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 $94,246.40 on April 13, 2026.

Client alleges unsuitable investment.

There are Recent Customer Complaints with Broker Jamie Nowakowski in Firm Equitable Advisors, LLC

May 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 10, 2026.

Claimant alleges unsuitable investments.

Broker Rafael Klein in David Lerner Associates, INC. Firm Has Customer Complaint

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rafael Klein (Klein), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Klein 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 $100,001.00 on April 13, 2026.

Unsuitability, misrepresentations and breach of fiduciary duty. \, \, Allegation period: 4/19/2016 the date of the first purchase of Energy 11 to April 13, 2026 the date the SOC was received.

There are Recent Customer Complaints with Broker Suihock Goy in Firm Ni Advisors

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suihock Goy (Goy), currently associated with Ni Advisors, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Goy 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 April 22, 2026.

Mr. Goy was supervisor, but not representative of record and was not involved in recommendation of the product to the client. Claims breach of contract, breach of fiduciary duty, negligence, etc., regarding investing in illiquid product twice during 2024.