Securities Lawyers Blog

Broker David Volpe in First Financial Equity Corporation Firm Has Customer Complaint

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Volpe (Volpe), previously associated with First Financial Equity Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Volpe recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 06, 2020.

Claimant alleges that between 2015 and April 2019, representative converted her funds by liquidating her accounts for his own personal use and by requesting claimant to write personal checks to him.

There are Recent Customer Complaints with Broker Jeffrey Olson in Firm Northland Securities, INC.

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Olson (Olson), previously associated with Northland Securities, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Olson 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 $906,374.66 on August 07, 2020.

Claimants allege violation of federal securities laws, violation of Minnesota Securities Act, violation of Minnesota’s Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence.

Broker Ahmet Kildis in Fifth Third Securities, INC. Firm Has Customer Complaint

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ahmet Kildis (Kildis), currently associated with Fifth Third Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kildis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint on August 10, 2020.

Claimants, as attorneys-in-fact, allege that representative failed to properly process beneficiary documentation.

Broker Billy Martin in Cetera Advisors LLC Firm Has Customer Complaint

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Billy Martin (Martin), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Martin 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 August 07, 2020.

Customers allege that the representative made unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Brent Bunger in Firm Integrity Alliance, LLC.

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Bunger (Bunger), currently associated with Integrity Alliance, LLC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bunger 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 $850,000.00 on August 10, 2020.

Unsuitable recommendations, material misrepresentatins, elder abuse

There are Recent Customer Complaints with Broker Rasikaran Boaz in Firm Equitable Advisors, LLC

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rasikaran Boaz (Boaz), currently associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Boaz 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 August 10, 2020.

Client alleges a 2015 replacement insurance policy’s fees and surrender scheduled were misrepresented.

There are Recent Customer Complaints with Broker Douglas Keller in Firm Chelsea Financial Services

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Keller (Keller), previously associated with Chelsea Financial Services, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Keller 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 August 10, 2020.

Client alleges a 2015 replacement insurance policy’s fees and surrender scheduled were misrepresented.

There are Recent Customer Complaints with Broker Roberta Nestor in Firm Commonwealth Financial Network

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roberta Nestor (Nestor), currently associated with Commonwealth Financial Network, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nestor 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 $895,000.00 on August 07, 2020.

There are Recent Customer Complaints with Broker Richard Baer in Firm Integrity Alliance, LLC.

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Baer (Baer), currently associated with Integrity Alliance, LLC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Baer 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 $850,000.00 on August 10, 2020.

Unsuitable recommendations, material misrepresentatins, elder abuse

There are Recent Customer Complaints with Broker Dennis Zaderaka in Firm Securities America, INC.

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Zaderaka (Zaderaka), previously associated with Securities America, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zaderaka 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 $175,000.00 on August 06, 2020.

Statement of Claim asserts the client was sold numerous high-commission, complex, risky alternative investments, and multiple illiquid investment products.