Securities Lawyers Blog

There are Recent Customer Complaints with Broker Elizabeth Teifer in Firm Herbert J. Sims & Co, INC.

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Teifer (Teifer), currently associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Teifer 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 $50,000.00 on September 03, 2021.

Unsuitability, Misrepresentation/omission, Breach of Fiduciary Duty

Broker Daniel Solakian in Allied Millennial Partners, LLC Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Solakian (Solakian), currently associated with Allied Millennial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Solakian 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 $250,000.00 on September 02, 2021.

Alleged sale of unsuitable investment in 2015

Broker Rashard Cook in LPL Financial LLC Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rashard Cook (Cook), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cook 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 September 07, 2021.

Claimant alleges REIT investments purchased were misrepresented.

There are Recent Customer Complaints with Broker Stephen Levin in Firm Corecap Investments, INC.

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Levin (Levin), previously associated with Corecap Investments, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Levin 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 $99,999.00 on September 07, 2021.

The client alleges the investments he purchased between 2012-2015 were unsuitable and misrepresented to him by the representative. The client further alleges the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

Broker Steven Caparco in Allstate Financial Services, LLC Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 10, 2021.

Representative informed the customers their would not be any tax consequence upon the liquidation and transfer of assets in their Individual and Joint brokerage accounts. Activity occurred in September 2021.

There are Recent Customer Complaints with Broker Jeremy Rosen in Firm Nationwide Planning Associates INC.

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Rosen (Rosen), previously associated with Nationwide Planning Associates INC., has at least 8 disclosable events. These events include 8 customer complaints, alleging that Rosen 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 $989,129.00 on September 02, 2021.

The client alleges in 2017 his accounts were over-concentrated into three publicly traded oil and gas stocks which were unsuitable and was advised by the representative to continue to hold the investments as they lost value over several years. The client further alleges the firm failed to supervise the representative.

Broker Stefan Sikorski in Equitable Advisors, LLC Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

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

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

Claimant alleges RR’s recommendation to purchase a life insurance policy in 2020 was unsuitable and misrepresented the benefits and guarantees of the product.

Broker Jorge Alfonso in Snowden Account Services LLC Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge Alfonso (Alfonso), previously associated with Snowden Account Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alfonso 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 $50,000.00 on September 10, 2021.

Respondent and its agents made false representations to Claimant. Respondent and its agents used or employed false, misleading and/or deceptive acts or practices under F.S.A. \\u00a7501.204. Respondent and its agents acted with negligence and gross negligence, completely outside the standard of care for a reasonable financial advisor, in the handling of Claimant’s investments, and caused damages to him as a result of these breaches of duty.

There are Recent Customer Complaints with Broker Ronald Daley in Firm W & s Brokerage Services, INC.

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Daley (Daley), previously associated with W & s Brokerage Services, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Daley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 10, 2021.

Without admitting or denying the findings, Daley consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony or to produce documents and information requested by FINRA in connection with its investigation into his potential conversion of funds from elderly customers.

Broker James Freeman in Commonwealth Financial Network Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Freeman (Freeman), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Freeman 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 September 10, 2021.

Claimant alleges her registered representative recommended unsuitable alternative investments. Claimant further alleges misrepresentation, breach of contract, negligence, and breach of fiduciary duty.