Reg BI

There are Recent Customer Complaints with Broker Douglas Zator in Firm Emerson Equity LLC

December 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 23, 2025.

Breach of contract and warranties, promissory estoppel; violation of Consumer Protection and Deceptive Trade Practices Act; Violation of Securities Statutes; Breach of Fiduciary Duty; Claims under Common Law; Vicarious Liability; Violation of Regulation Best Interest

There are Recent Customer Complaints with Broker Chay Lapin in Firm Fnex Capital, LLC

December 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chay Lapin (Lapin), currently associated with Fnex Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lapin 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 October 21, 2025.

From investment activity in 2018 and 2019, claimant alleges fraud, misrepresentation, negligence, and breach of contract

Broker Goutam Datta in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

December 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Goutam Datta (Datta), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Datta 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 $258,993.00 on October 22, 2025.

Claimant asserts various causes of action including breach of fiduciary duty, negligence, negligent supervision, fraud, and breach of contract related to alleged unauthorized trading in her account.

There are Recent Customer Complaints with Broker James Mcpherson in Firm Emerson Equity LLC

December 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 22, 2025.

Breach of fiduciary duty; violation of Regulation Best Interest; negligence; violation of FINRA rules; negligent misrepresentation; common law fraud; violation of the Florida Securities and Investor Protection Act under FLA. Stat. 517.301.

There are Recent Customer Complaints with Broker Kirk Badii in Firm Independent Financial Group, LLC

December 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Badii (Badii), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Badii 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 $2,730,000.00 on October 17, 2025.

Statement of claim alleges dissatisfaction with the management of the Claimant’s investment and loan accounts.

Broker Joshua Steele in Edward Jones Firm Has Customer Complaint

December 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 21, 2025.

The client alleges the financial advisor did not follow instructions on investing 5% of her portfolio in metals.

There are Recent Customer Complaints with Broker Luigi Vultaggio in Firm Allied Millennial Partners, LLC

December 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luigi Vultaggio (Vultaggio), currently associated with Allied Millennial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vultaggio 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 $10,000.00 on October 20, 2025.

Client alleged he was not aware of a stop loss that resulted in loss on investment. Activity dates June 2019 to November 2019. Actual trading loss was $1,339.61

Broker Jason Min in Nylife Securities LLC Firm Has Customer Complaint

December 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 23, 2025.

The customer alleged he was misled regarding Variable Annuity surrender charges of policies purchased in May 2025 and when he purchased another in June 2025.

There are Recent Customer Complaints with Broker Tony Barouti in Firm Emerson Equity LLC

December 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Barouti (Barouti), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barouti 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 October 20, 2025.

Breach of contract; rescission; breach of fiduciary duty, of failing to act in claimant’s best interests, to deal fairly and honestly with the claimant, to observe fair business practices and equitable principals of trade as embodied in the standards of the securities industry; FINRA Rules, and respondent’s own internal policies, to make only suitable investments and not to knowingly or negligently make material misrepresentations and omissions to Claimant; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of FINRA rules; violation of federal securities laws; violation of California Securities Act; and violation of the Best Interest Obligations (Reg BI)

There are Recent Customer Complaints with Broker T Thompson in Firm Truist Investment Services, INC.

December 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 22, 2025.

Clients allege high risk and unsuitable securities trading regarding managed investments in February 2021 and October 2023.