Reg BI

There are Recent Customer Complaints with Broker Gregg Manis in Firm LPL Financial LLC

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 03, 2021.

Claimants alleges that LPL and its registered representative negligently advised their client to purchase assets and make transfers between trusts which violated the terms of the trusts and constituted a breach of fiduciary duty. Plaintiff alleges he suffered financial loss as result of the alleged conduct.

Broker James Thomure in Edward Jones Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 05, 2021.

The client alleges the financial advisor’s failure to follow her instructions to rollover distributions from a qualified annuity resulted in an additional tax liability.

Broker Richard Schultz in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $2,928,362.00 on March 05, 2021.

Richard Schultz was named in a customer complaint that asserted the following causes of action: breach of fiduciary duties; breach of Minnesota securities statutes; breach of the Minnesota Consumer Fraud Act; suitability; fraudulent misrepresentation and negligent misrepresentation; common law fraud; negligence; breach of contract; fraudulent misrepresentation by silence; failure to supervise; and respondeat superior.

There are Recent Customer Complaints with Broker Thomas Steiner in Firm Cetera Advisors LLC

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 03, 2021.

Client expresses concern about the amount of trading activity in his accounts and alleges the financial professional did not contact him prior to placing trades from 2012 – 2021.

There are Recent Customer Complaints with Broker Bruce Ivol in Firm Cambridge Investment Research, INC.

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 03, 2021.

Claimants allege the RR misrepresented the tax implications of their retirement plan.

There are Recent Customer Complaints with Broker Adam Kozak in Firm Sigma Financial Corporation

February 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 09, 2021.

The complainant alleges that the REIT that was sold to him beginning in or around 2014 was unsuitable for his conservative portfolio and he wasn’t advised that there could be a loss of principal.

There are Recent Customer Complaints with Broker Rikin Jobanputra in Firm Joseph Gunnar & CO. LLC

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rikin Jobanputra (Jobanputra), currently associated with Joseph Gunnar & CO. LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jobanputra 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 $100,000.00 on March 09, 2021.

Client alleges unsuitability

There are Recent Customer Complaints with Broker Marc Lopresti in Firm Cambridge Investment Research, INC.

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Lopresti (Lopresti), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopresti 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 $142,985.17 on March 12, 2021.

Client alleges the RR recommended and purchased unsuitable investments related to five listed equity securities.

There are Recent Customer Complaints with Broker Gregory Lyon in Firm LPL Financial LLC

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Lyon (Lyon), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lyon 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 March 12, 2021.

Ms. [REDACTED] contends around 02/17/2021 CMIA purchased illiquid investments that carried a risk of loss of significant principal and that this fact was concealed from her. Plaintiff contends I failed to comply with my obligations to oversee her account.

Broker Andres Herrera in Morgan Stanley Firm Has Customer Complaint

February 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $2,000,000.00 on March 12, 2021.

Time Frame: February 3, 2020 to April 10, 2020 The client alleges the portfolio was too aggressive. The client further alleges he was issued a loan guaranteed by our portfolio without informing us as to what amount would be taken.