Reg BI

Broker Cynthia Couyoumjian in Independent Financial Group, LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Couyoumjian (Couyoumjian), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Couyoumjian 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 $136,900.00 on February 06, 2023.

Allege investment was not suitable.

There are Recent Customer Complaints with Broker Jack Elvestrom in Firm Morgan Stanley

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Elvestrom (Elvestrom), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Elvestrom 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 $400,000.00 on February 03, 2023.

Claimant alleges, inter alia, failure to follow instructions with respect to conservative investment plan for client account from 2021 to 2022.

Broker Daniel Terry in Edward Jones Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Terry (Terry), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Terry 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 $14,865.80 on February 06, 2023.

Clients allege they had requested for their accounts to transfer outside of Edward Jones with only non-transferrable assets being liquidated. Clients further allege everything was liquidated prior to transfer.

Broker John Yanagihara in LPL Financial LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 06, 2023.

Complaint alleged failure to follow instructions. (5/24/2022-2/6/2023)

Broker David Wells in B.b. Graham & Company, INC. Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wells (Wells), currently associated with B.b. Graham & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wells 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 $215,000.00 on February 03, 2023.

Client disputes alleging product not appropriate. Transactions dates: 1/2021, 2/2017 ,3/2019.

Broker Jack Teboda in Proequities, INC. Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Teboda (Teboda), previously associated with Proequities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Teboda 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 $1,993,268.00 on February 03, 2023.

Jack Teboda was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty, common law fraud, negligence/negligent misrepresentation/omission, breach of contract, restitution, and negligent supervision.

Broker Michael Shonsey in Integrity Alliance, LLC. Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Shonsey (Shonsey), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Shonsey 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 $300,000.00 on February 02, 2023.

Claimants allege they were recommended and overconcentrated in unsuitable investments

Broker Robert Schmidt in Realized Financial, INC. Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 13, 2023.

Claimant alleges failure to conduct reasonable due diligence and disclosure on NP Skyloft DST

Broker Peter Chernin in Great Point Capital LLC Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2023.

Claimants claim certain investments were unsuitable for them and that that risks of the investments were not revealed despite written disclosures. Claim also states a lack of supervision, and a failure to perform due diligence by broker dealer. Transactions at issue were Section 1031 Exchanges. Occurrences were in 2019 and 2020. Mr. Chernin is alleged to have been the registered representative involved. He is not named as a respondent.

There are Recent Customer Complaints with Broker Lanita Nelson in Firm PFS Investments INC.

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lanita Nelson (Nelson), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $20,944.09 on February 10, 2023.

Client alleged i misrepresented her variable annuity.