Reg BI

Broker Jimmy Nunez in Allstate Financial Services, LLC Firm Has Customer Complaint

January 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jimmy Nunez (Nunez), previously associated with Allstate Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Nunez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 28, 2022.

Without admitting or denying the findings, Nunez consented to the sanctions and to the entry of findings that he forged a customer\\u2019s signature and initials on a variable annuity application and related new account documents. The findings stated that Nunez did not obtain the customer\\u2019s permission to sign her name or to initial any documents for her. Nunez also falsified the documents by placing a date on them that was later than the date on which they were signed and initialed. Nunez then submitted the documents to his member firm. By forging and falsifying the documents, Nunez caused his firm\\u2019s books and records to be inaccurate. The findings also stated that when FINRA investigated Nunez\\u2019s conduct, he provided false written statements and testimony in response to requests issued by FINRA. Nunez subsequently recanted his false statements.

There are Recent Customer Complaints with Broker Jeffrey Anderson in Firm Pruco Securities, LLC.

January 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Anderson (Anderson), previously associated with Pruco Securities, LLC., has at least 6 disclosable events. These events include 4 customer complaints, 2 regulatory events, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 27, 2022.

Section 8.E(1)(j) of the Illinois Securities Law of 1953 [815 ILCS 5] (“the Act”) provides, inter alia, that the registration of a salesperson May be denied, suspended or revoked if the Secretary of State finds that the salesperson has had membership or association with any self-regulatory organization registered under the Federal 1934 Act or the Federal 1974 Act suspended, revoked, refused, expelled, cancelled, barred, limited in any capacity, or otherwise adversely affected in a similar manner arising from any fraudulent or deceptive act or a practice in violation of any rule, regulation or standard duly promulgated by the self-regulatory organization

Broker David Mirolli in Kalos Capital, INC. Firm Has Customer Complaint

January 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Mirolli (Mirolli), previously associated with Kalos Capital, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Mirolli 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 $70,000.00 on December 06, 2021.

CLAIMANT ALLEGES THAT TRIAD, THROUGH THE REPRESENTATIVE, RECOMMENDED AN INVESTMENT THAT WAS NOT IN KEEPING WITH THE CLIENT’S OBJECTIVES, AND THAT THE REVIEW OF THE PRODUCT AND DISCLOSURES TO THE CLIENT WERE NOT ADEQUATE.

There are Recent Customer Complaints with Broker David Hixon in Firm Morgan Stanley

January 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Hixon (Hixon), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hixon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on December 14, 2021.

Respondent Hixon failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker John Lopinto in Firm Worden Capital Management LLC

January 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lopinto (Lopinto), previously associated with Worden Capital Management LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Lopinto recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 10, 2022.

Without admitting or denying the findings, LoPinto consented to the sanctions and to the entry of findings that he excessively traded customers’ accounts. The findings stated that LoPinto engaged in quantitatively unsuitable trading in customer accounts. LoPinto recommended high frequency trading and his customers routinely followed his recommendations and, as a result, LoPinto exercised de facto control over the customer’s accounts. LoPinto’s trading was excessive and unsuitable given the customers’ investment profiles. As a result of LoPinto’s excessive trading, the customers suffered collective realized losses of $240,331 while paying total trading costs of $205,523, including commissions of $161,706. The findings also stated that LoPinto exercised discretion to effect trades in a customer’s account without prior written authorization. LoPinto charged the customer a total of $21,632 in commissions to place the trades. The customer did not provide written authorization for LoPinto to exercise discretion in the account and LoPinto’s member firm did not accept the account as a discretionary account.

There are Recent Customer Complaints with Broker Howell Ferguson in Firm LPL Financial LLC

January 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howell Ferguson (Ferguson), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Ferguson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 08, 2022.

Without admitting or denying the findings, Ferguson consented to the sanctions and to the entry of findings that he forged documents by signing a customer\\u2019s name without the customer\\u2019s prior permission. The findings stated that the forms were to request required minimum distributions from annuities and Ferguson caused those forms to be submitted to the annuity companies. The findings also stated that after FINRA initiated an investigation of Ferguson\\u2019s conduct, he falsely denied signing the customer\\u2019s name in response to FINRA\\u2019s request for information. Subsequently, after FINRA obtained Ferguson\\u2019s emails about the forms, and requested information from him about those emails, Ferguson recanted his false statements and admitted that he had signed the customer\\u2019s name without permission.

Broker Timothy Flynn in Trident Partners Ltd. Firm Has Customer Complaint

January 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Flynn (Flynn), previously associated with Trident Partners Ltd., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Flynn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on December 23, 2021.

Respondent Flynn failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker David Khezri in Network 1 Financial Securities INC. Firm Has Customer Complaint

January 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Khezri (Khezri), previously associated with Network 1 Financial Securities INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Khezri recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on December 23, 2021.

Without admitting or denying the findings, Khezri consented to the sanction and to the entry of findings that he refused to provide documents and information that FINRA requested in connection with its investigation of whether Khezri made unsuitable securities recommendations in customer accounts.

There are Recent Customer Complaints with Broker Christopher Queen in Firm Wells Fargo Clearing Services, LLC

January 15, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on December 07, 2021.

Claimant alleges that due to the Financial Advisor (FA)’s breach of fiduciary duty, Deceased suffered damages; moreover, FA was prohibited from taking on the rule of guardian and was notified of this prohibition but refused to withdraw from his appointed position.

There are Recent Customer Complaints with Broker Andrew Elsoffer in Firm Stifel, Nicolaus & Company, Incorporated

January 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Elsoffer (Elsoffer), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Elsoffer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 25, 2022.

Without admitting or denying the findings, Elsoffer consented to the sanctions and to the entry of findings that he exercised discretion without written authorization in customer accounts. The findings stated that although the customers understood that Elsoffer was conducting trading in their accounts, none of them provided prior written authorization for him to exercise discretion in their accounts. In addition, Elsoffer\\u2019s member firm did not accept these accounts as discretionary. The findings also stated that Elsoffer assisted his firm customer, who was a close friend but not an immediate family member, with renovating his home at a time when the customer was unable to oversee the renovations himself. He loaned the customer a total of $13,703 to pay to the contractors renovating the home. The customer then reimbursed Elsoffer via three checks totaling $2,703 drawn on his firm account and two checks totaling $11,000 drawn on his bank account. Elsoffer did not disclose or seek prior approval from the firm for the loans. The findings also included that Elsoffer initially provided false information to FINRA. FINRA requested that Elsoffer provide a signed statement addressing his termination from the firm and allegations that he had violated firm policy. In Elsoffer\\u2019s written response, he misrepresented that all check writing was done from the customer\\u2019s firm account. FINRA later asked Elsoffer whether, in addition to the three checks written from the firm account, the customer had written Elsoffer additional checks from any bank accounts and if so, to provide all supporting documentation. In his written response, Elsoffer misrepresented that no other checks existed. Elsoffer later corrected his prior misstatements by producing personal bank statements and two additional cancelled checks drawn on the customer\\u2019s bank account totaling $11,000.