Reg BI

There are Recent Customer Complaints with Broker Avinash Alwani in Firm J.P. Morgan Securities LLC

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Avinash Alwani (Alwani), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alwani 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 $29,595.52 on March 25, 2026.

Customer alleges misrepresentation regarding variable annuity investment. Activity date January 7, 2026.

Broker Craig Fernsler in Mcdermott Investment Services, LLC Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Fernsler (Fernsler), currently associated with Mcdermott Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fernsler 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 $300,000.00 on March 25, 2026.

Claimants purchased multiple DSTs in June 2021 as part of a tax advantaged 1031 exchange of a prior real estate investment. Due to circumstances well beyond Firm’s or RR’s control, ONE of the DSTs is not performing to Claimants’ expectations. Accordingly, Claimants have made various allegations and legal claims related to suitability and due diligence with respect to the DST. Allegations also include breach of fiduciary duty, negligence, misrepresentations and omissions, failure to supervise and breach of contract.

There are Recent Customer Complaints with Broker Gianpaolo Bicego in Firm Wells Fargo Clearing Services, LLC

May 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 27, 2026.

Attorney representing client alleges Financial Advisor conducted unauthorized transactions into unsuitable and commission generating investments. (11/16/2023 – 3/27/2026)

Broker Daniel Finley in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Finley (Finley), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Finley 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 $26,102.00 on March 27, 2026.

Customer alleges financial advisor made no recommendation from February 2023 through March 2026, expressing concerns regarding fiduciary oversight of uninvested funds during this timeframe.

Broker Peter Po in Emerson Equity LLC Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Po recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 26, 2026.

Breach of Contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of state securities statutes, fraud and constructive fraud, breach of fiduciary duty, negligence and gross negligence, misrepresentation/omission and negligent misrepresentation/omission, unjust enrichment, common law, statutory claims and damages

Broker Michael Barrows in Innovation Partners LLC Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on March 27, 2026.

Respondent Barrows failed to pay arbitration fees of $6,727.14 assessed in FINRA Arbitration Case #22-01360.

There are Recent Customer Complaints with Broker Robert Baker in Firm Colorado Financial Service Corporation

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Baker (Baker), currently associated with Colorado Financial Service Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 $300,000.00 on March 25, 2026.

Customer alleges that the former registered representative recommended and implemented an investment strategy that was unsuitable and misrepresented associated risks and costs.

There are Recent Customer Complaints with Broker Matthew Gimmelli in Firm Morgan Stanley

May 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 25, 2026.

Client alleges, misrepresentation with respect to fees and claims that recommendation to open managed account at morgan stanley was not made in their best interests

Broker Peter Mamais in Equity Services, INC. Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Mamais (Mamais), currently associated with Equity Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mamais 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 $15,750.00 on March 30, 2026.

Customer alleges representative did not disclose fees associated with a variable annuity purchase.

Broker Michael Hamilton in Centaurus Financial, INC. Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hamilton (Hamilton), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 $224,500.00 on March 26, 2026.

The customer alleges that in September 2019 through February 2021, the Registered Representative recommended unsuitable, high-risk, illiquid investments.