Reg BI

There are Recent Customer Complaints with Broker Michael Montalvo in Firm Raymond James & Associates, INC.

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Montalvo (Montalvo), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Montalvo 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 $30,000.00 on June 09, 2025.

Client alleged Financial Advisor took an undisclosed loan and failed to repay. Allegation Activity Date: 10/31/2024.

There are Recent Customer Complaints with Broker Gihan Fernando in Firm Cetera Investment Services LLC

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gihan Fernando (Fernando), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fernando 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 August 11, 2025.

Client alleges misrepresentation and unsuitable advice during sales process on or around October 2015 – January 2017.

Broker Alvaro Jiron in LPL Financial LLC Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alvaro Jiron (Jiron), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jiron 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 August 11, 2025.

Client indicated financial professional misrepresented this product as safe and secure.

There are Recent Customer Complaints with Broker Hagop Nalbandian in Firm Vanderbilt Securities, LLC

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hagop Nalbandian (Nalbandian), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nalbandian 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 $5,000.00 on August 04, 2025.

Unsuitable recommendation of corporate bonds in 2018.

Broker Lina Bowman in Commonwealth Financial Network Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lina Bowman (Bowman), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Bowman 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 $72,518.67 on August 25, 2025.

Customer alleging sale of variable annuity was unsuitable.

Broker Roderick Rodriguez in Osaic Institutions, INC. Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Rodriguez (Rodriguez), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 $160,000.00 on July 17, 2025.

Respondent, through its broker solicited the Claimant to invest in high risk Alternative Investments. These Alternative Investments were represented as safe, low risk investments that provided retirement income, the reality is that these investments were illiquid, speculative investments that were not suitable for the Claimant.

Broker Patrick Infante in LPL Financial LLC Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Infante (Infante), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Infante 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 $1,926.68 on June 03, 2025.

Customer alleged rep failed to follow instructions to liquidate two accounts and only liquidated one account in 2025.

Broker Gerald Hanifan in Usa Financial Securities LLC Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Hanifan (Hanifan), currently associated with Usa Financial Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hanifan 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 June 18, 2025.

Gerald Hanifan has been named in FINRA Dispute Resolution Services Arbitration Number 24-00233. The complainants are alleging that Mr. Hanifan placed them in unsuitable investments, by failing to explain the investments in great enough detail.

There are Recent Customer Complaints with Broker Kim Block in Firm Valic Financial Advisors, INC.

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Block (Block), previously associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Block 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 $50,000.00 on August 26, 2025.

Customer alleged misrepresentation related to the sale of an annuity.

Broker David Perkins in Hatteras Capital Distributors, LLC Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Perkins (Perkins), currently associated with Hatteras Capital Distributors, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Perkins recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 20, 2025.

Plaintiffs bring this Verified Amended Class Action Complaint against Defendants for tortious interference with contractual and unitholder voting rights stemming from the Hatteras Plan of Liquidation.