Securities Lawyers Blog

There are Recent Customer Complaints with Broker Andrew Melikidse in Firm LPL Financial LLC

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Melikidse (Melikidse), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Melikidse 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 $350,000.00 on April 01, 2021.

Customer alleges REIT and Business Development Company purchases were unsuitable

Broker Tatyana Bunich in Independent Financial Group, LLC Firm Has Customer Complaint

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tatyana Bunich (Bunich), currently associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Bunich 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 $149,000.00 on March 31, 2021.

Around 2015 [redacted] came to tatyana bunich seeking investment advice. [redacted] alleges that ms. Bunich advised her to invest exclusively in reits and alternative investments. [redacted] alleges that ms. Bunich violated finra rule 2110, 2111, negligence, misrepresentations and omissions of material facts and breach of fiduciary duty

There are Recent Customer Complaints with Broker Jorge Bravo in Firm Nationwide Planning Associates INC.

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge Bravo (Bravo), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Bravo 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 $300,000.00 on March 29, 2021.

Time frame: January 2011-Unspecified Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds and Puerto Rico municipal bonds was unsuitable and that his account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

Broker Mark Frommer in Oppenheimer & CO. INC. Firm Has Customer Complaint

February 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 01, 2021.

Claimant alleges, inter alia, unsuitability with respect to investments and liquidity access line – 2013 through 2016.

Broker Cynthia Bremer in Osaic Wealth, INC. Firm Has Customer Complaint

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Bremer (Bremer), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bremer 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 $40,000.00 on March 29, 2021.

Client alleges that an unauthorized transaction resulted in a loss of approximately $40,000.

There are Recent Customer Complaints with Broker Tigran Areshian in Firm J.P. Morgan Securities LLC

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tigran Areshian (Areshian), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Areshian 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 $10,000.00 on April 03, 2021.

Customer alleges suitability regarding managed account investment. Activity Dates 1.31.21-1.31.21

Broker Lance Reinhardt in Axiom Capital Management, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lance Reinhardt (Reinhardt), previously associated with Axiom Capital Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Reinhardt 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 $660,000.00 on April 08, 2021.

Suitability

Broker Lorenzo Delgado Bustamante in Kovack Securities INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lorenzo Delgado Bustamante (Delgado Bustamante), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Delgado Bustamante 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 $225,000.00 on April 05, 2021.

Period 2005-2013. Alleges concentration in pr securities, misrepresentation of suitability, fraud, breach of fid duty, negligence, violation finra rules, pr and federal law.

Broker Steven Hocking in Raymond James & Associates, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.

Time Frame: October 23, 2020\, What were the allegations against the individual? \, The trustee alleges her Financial Advisor dd not follow her instructions and her security was sold which caused tax implications. The alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Christopher Hathaway in Firm LPL Financial LLC

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hathaway (Hathaway), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hathaway 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 $8,501.00 on April 07, 2021.

Customer alleges that during the approximate time period of June 2020 to February 2021, the Representative promised him that the money in his variable universal life insurance (VUL) policy was safe and the Customer would receive the VUL policy’s Accumulated Value upon a policy change to a term policy but no policy change occurred. The VUL policy lapsed due to non-payment of premium and the Customer did not receive any funds because the surrender charges exceeded the VUL policy’s Accumulated Value. The Customer is requesting a full refund of premiums paid into the VUL policy.