Securities Lawyers Blog

Broker Jose Quinones in PFS Investments INC. Firm Has Customer Complaint

March 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Quinones (Quinones), previously associated with PFS Investments INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Quinones 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 November 10, 2025.

Claimant alleges that in or around 2024, Quinones recommended an unsuitable, high risk, investment in a limited liability company and failed to discuss with Claimant a properly diversified portfolio. Claimant contends that as a result of the unsuitable recommendations, Claimant suffered substantial losses in her account.

Broker Debra Bushman in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

March 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Debra Bushman (Bushman), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bushman 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 $140,000.00 on December 10, 2025.

Time frame: 2021-2024\, The Trustee’s attorney alleges the Financial Advisors recommended unsuitable long duration premium bonds based on the Grantor’s age. The Trustee’s attorney further alleges the Financial Advisors misrepresented that the principal would be preserved and income would be interest based. The Trustee’s attorney finally alleges the strategy violated Regulation Best Interest.\,

There are Recent Customer Complaints with Broker David Levinson in Firm American Trust Investment Services, INC.

March 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Levinson (Levinson), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Levinson 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 $400,000.00 on December 04, 2025.

Customer alleges that between 2019 and 2025, the representative recommended unsuitable alternative investments, including three Delaware Statutory Trusts and MacKenzie Realty Capital, and made misrepresentations regarding risk, performance, and income expectations. The Statement of Claim asserts negligence, breach of fiduciary duty, and negligent supervision, alleging losses of approximately $400,000 plus additional damages.

Broker William Olinger in Valmark Securities, INC. Firm Has Customer Complaint

March 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Olinger (Olinger), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Olinger 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 $100,000,000.00 on November 25, 2025.

Breach of Fiduciary Duty, Negligent Misrepresentation, Gross Negligence, and Unjust Enrichment

There are Recent Customer Complaints with Broker Preston Walchli in Firm Realta Equities, INC.

March 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 18, 2025.

The claimants allege they were directly lied to and facts were misrepresented about investments.

Broker Gerald Geter in Charles Schwab & Co., INC. Firm Has Customer Complaint

March 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Geter (Geter), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Geter 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 $5,766.82 on December 16, 2025.

The client alleges in September of 2025, the representative failed to follow instructions regarding the purchasing and selling of specific stocks.

There are Recent Customer Complaints with Broker Christopher Raup in Firm Cambridge Investment Research, INC.

March 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 11, 2025.

This matter involves a disagreement between two sisters regarding the handling of their late parent’s account. It is suggested that one sister May have moved funds in a way the other questions, and that the financial professional May have been involved in advising on or assisting with those transactions.

There are Recent Customer Complaints with Broker Christopher Rogers in Firm Emerson Equity LLC

March 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 19, 2025.

Suitability

Broker Mark Williams in Kingswood Capital Partners, LLC Firm Has Customer Complaint

March 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Williams (Williams), previously associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $111,000.00 on December 19, 2025.

The customer alleges that on October 1, 2020, the Registered Representative recommended and misrepresented an unsuitable, speculative investment.

Broker Hilgardt Lamprecht in Madison Avenue Securities, LLC Firm Has Customer Complaint

March 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hilgardt Lamprecht (Lamprecht), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lamprecht 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 $45,000.00 on December 22, 2025.

Unsuitable VUL recommendation, undisclosed compensation conflicts, non-delivery of paid planning services, operational failures following termination.