Articles Posted in Reg BI

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Dukes (Dukes), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dukes 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 $366,000.00 on February 26, 2026.

Claimants allege that the October 17, 2024 purchase of a Delaware Statutory Trust (DST) real estate investment in connection with a 1031 exchange was unsuitable for their investment objectives and risk tolerance, and that the investment was misrepresented as conservative and low risk. Claimants further allege inadequate due diligence on the investment and its sponsor, material misrepresentations and omissions, failure to disclose risks, breach of fiduciary duty, negligence, and failure to supervise.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fabio De Andrade (De Andrade), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that De Andrade 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 $24,713,303.00 on February 27, 2026.

Claimant alleges unsuitable investments from 2017 to March 2025.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesse Butler (Butler), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $36,867.68 on March 02, 2026.

The customer stated that the representative recommended to liquidate and transfer funds from a fixed annuity to the representative\\u2019s business. The customer believed the funds would be reinvested into another annuity. She indicated that she was not informed of any penalties associated with the transfer. The customer further alleged that a promissory note was later presented to her by the representative and signed approximately three years after the 2020 transfer, but the document was backdated to January 2020.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Volpe (Volpe), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Volpe 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 $5,000.00 on March 16, 2026.

Claimant alleges the FP recommended unsuitable alternative investments.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Sathre (Sathre), currently associated with Quincy Wells Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sathre 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 $754,000.00 on March 20, 2026.

Claimants assert claims against Respondent, for, among other things, violation of\, Regulation Best Interest, 17 C.F.R. \\u00a7 240.15l-1 (“Reg BI”); unsuitable investment strategy and\, recommendations; failure to conduct adequate due diligence, material misrepresentations and\, omissions; violation of FINRA Rules, violation of federal and state securities laws, including\, violation of the California Corporations Code, Cal. Corp. Code \\u00a7 25401 and 25501; breach of\, fiduciary duty; common law fraud; negligence and gross negligence; and breach of contract.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Egber (Egber), previously associated with Steward Partners Investment Solutions, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Egber 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 $697,328.77 on February 27, 2026.

Customers complained that they made an outside investment through the Financial Advisor and would like to be made whole on funds that were not returned. (5/19/2015-1/11/2018)

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Stevens (Stevens), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Stevens 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 $200,000.00 on March 02, 2026.

Customer alleges registered representative recommended unsuitable investments.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Kunz (Kunz), previously associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kunz 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 $1.00 on March 18, 2026.

Customer alleges that the firm, through its registered representative, recommended and sold unsuitable GWG Holdings, Inc. L-Bonds, a high-risk, illiquid alternative investment, and failed to conduct reasonable due diligence, misrepresented or omitted material risks, and failed to adequately supervise such recommendations. Claimants seek unspecified damages, interest, attorneys\\u2019 fees, and costs. The firm denies the allegations and intends to defend the matter. The arbitration is currently pending.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on April 06, 2026.

Client alleges that the Registered Representative failed to conduct due diligence in connection with Know Your Customer.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Kangas (Kangas), currently associated with Wealthforge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kangas 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 $1,000,000.00 on April 02, 2026.

From investment activity in 2022, claimant alleges the following: negligence, lack of suitability, fraud, lack of due diligence, misrepresentation, failure to supervise, omitting material facts, breach of contract, and breach of fiduciary duty

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design