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

FINRA BrokerCheck shows a settled customer complaint on December 06, 2022.

Client alleges the terms of the callable fixed rate note purchased on October 28, 2019 were misrepresented. The client liquidated the CD on October 13, 2022.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $19,331.00 on December 08, 2022.

Customer Alleges the rep did not fully disclose all the facts regarding Tax Consequences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Shenk (Shenk), currently associated with Ifp Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shenk 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 $433,000.00 on December 07, 2022.

The claimants allege unsuitable investments.

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

FINRA BrokerCheck shows a pending customer complaint on December 01, 2022.

Class action on behalf of investors who purchased unregistered securities beginning in 2019.

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

FINRA BrokerCheck shows a settled customer complaint on December 08, 2022.

The client, through his counsel contacted the Firm’s counsel regarding potential claims relating to suitability of the alternative investments purchased by the client from 2011 through 2016.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Thomas Hampton (Hampton) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Hampton was employed by MML Investors Services, LLC at the time of the activity.  If you have been a victim of Hampton’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on December 07, 2022.

Beginning in or around 2016, the Claimant alleges that the rep convinced the Claimant to entrust him with his investment funds and then took advantage of him as part of a plan involving financial planning, investment, and other services akin to selling away, which has harmed him financially.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Stuart Pearl (Pearl), previously associated with David A. Noyes & Company, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Pearl  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $825,000.00 on December 06, 2022.

Client alleged unsuitable trading of listed equities that were unauthorized,  use of margin and churning.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Duncan Gillan (Gillan), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gillan 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 $1,500,000.00 on December 08, 2022.

Customers complained that the financial advisor failed to provide accurate daily status reports as instructed, resulting in opportunity losses pending a reconciliation of the account balances. (6/1/2013-12/8/2022)

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

FINRA BrokerCheck shows a settled customer complaint on January 27, 2023.

Customer alleges the rep did not fully disclose all the facts regarding purchasing an annuity as a retirement plan.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Liang (Liang), currently associated with Ni Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Liang 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 $1,000,000.00 on January 27, 2023.

Claim states breach of contact and fiduciary duty for bonds sold to two clients during 2019.

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