Reg BI

There are Recent Customer Complaints with Broker Robert Orbin in Firm Citizens Securities, INC.

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Orbin (Orbin), currently associated with Citizens Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Orbin 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 $1,900,000.00 on November 19, 2025.

Alleged the failure to update the beneficiary designations on a deceased client’s accounts and that the failures, oversights and negligence resulted in the proceeds of the accounts being erroneously distributed to an incorrect beneficiary(ies) upon Mr. Hough’s passing instead of passing entirely to Mrs. Hough as Mr. Hough directed at the 2022 meeting.

Broker William Tunink in LPL Financial LLC Firm Has Customer Complaint

January 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 7 disclosable events. These events include 7 customer complaints, alleging that Tunink 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 $205,000.00 on November 17, 2025.

Broker obtained loans from customer, some of which were used for an investment opportunity away from the firm. Time frame: November 2024 to September 2025.

Broker Matthew Wilson in Ameriprise Financial Services, LLC Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Wilson (Wilson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 $42,000.00 on November 19, 2025.

Claimant alleges that in 2015/2016, it was recommended she invest her retirement funds in a ROTH IRA account rather than contribute to her 403(b) account through her employer. In July 2025, Claimant discovered she had failed to contribute to her ROTH IRA account. Claimant now alleges Mr. Wilson should have followed up with her regarding her failure to contribute to her ROTH IRA.

There are Recent Customer Complaints with Broker Glennon Cole in Firm Moloney Securities Co., INC.

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glennon Cole (Cole), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Cole 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 $84,000.00 on November 18, 2025.

Suitability/negligence. 2018-2020

Broker Michael Whitaker in Newbridge Securities Corporation Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Whitaker (Whitaker), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Whitaker 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 $375,000.00 on November 18, 2025.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, NEGLIGENCE, VIOLATION OF FEDERAL SECURITIES LAWS, MISREPRESENTATIONS, FAILURE TO SUPERVISE.

There are Recent Customer Complaints with Broker William Horak in Firm Purshe Kaplan Sterling Investments

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Horak (Horak), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Horak 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 $25,000.00 on November 19, 2025.

Client alleged Investment in GWG L Bonds was unsuitable.

Broker John Lord in Cambridge Investment Research, INC. Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 19, 2025.

Client alleges unsuitability, common law fraud, breach of contract, negligent supervision. Breach of fiduciary duty, negligence,

There are Recent Customer Complaints with Broker Dean Nowak in Firm Newbridge Securities Corporation

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Nowak (Nowak), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Nowak 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 $651,709.00 on November 20, 2025.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE, NEGLIGENCE, MISREPRESENTATION, VIOLATION OF FEDERAL SECURITIES LAWS, AND VIOLATION OF REG BI.

There are Recent Customer Complaints with Broker Timothy Sherer in Firm Emerson Equity LLC

January 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 14, 2025.

Violation of federal securities laws; violations of the California Securities Laws; Unsuitable recommendations, misrepresentations and omissions of material fact; California unfair, unlawful, and fraudulent business practices; common law fraud; breach of contract; breach of fiduciary duty; negligence and gross negligence. 2021

There are Recent Customer Complaints with Broker Kim Kunz in Firm Westpark Capital, INC.

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Kunz (Kunz), previously associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kunz 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 $500,000.00 on November 20, 2025.

Claimants allege that between December 2017 and September 2024, the representative recommended an unsuitable investment (Aspen House DST) that was inconsistent with their risk tolerance and objectives, and that he failed to conduct adequate due diligence or disclose risks. Claimants further allege misrepresentations, omissions, breach of fiduciary duty, negligence, and violations of Reg BI and California securities laws. Alleged damages are less than $500,000.