Securities Lawyers Blog

There are Recent Customer Complaints with Broker Timothy Peoples in Firm Regulus Financial Group, LLC

September 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Peoples (Peoples), currently associated with Regulus Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peoples 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 March 15, 2023.

Investments made on September 2018. September 2019, August 2020 and September 2020 in GWG L-bond. L-Bond stopped paying interest in February 2022 and in April, 2022, GWG filed for re-organization under Chapter 11 bankruptcy. Bankruptcy plan and Wind Down Trust have been approved by the court.

There are Recent Customer Complaints with Broker Paul Gomperz in Firm IBN Financial Services, INC.

September 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Gomperz (Gomperz), previously associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gomperz 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 $158,000.00 on March 14, 2023.

Suitability in GWG holdings

Broker Noele Pace in LPL Enterprise, LLC Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Noele Pace (Pace), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pace 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 $8,165.80 on March 20, 2023.

Customer Alleges the rep failed to disclose charges, expenses and fees.

Broker Alexander Page in Morgan Stanley Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Page (Page), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Page 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 $18,000.00 on March 18, 2023.

Client had First Republic stock in her portfolio, which fell significantly over the course of a week. On March 14th client complained that she had not given discretionary authority. RIA and advisor sent client paperwork indicating discretion that client signed off on. Client claimed they were Schwab documents and not internal documents. Advisor sent internal documents indicating a digital signature from client, which indicated discretion, but it lacked a date and time stamp.

Broker Nicholas Stenger in Morgan Stanley Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 20, 2023.

Client alleges that the rate that he would be charged on his managed account was misrepresented. 2020-2023

There are Recent Customer Complaints with Broker Stefan Tunaru in Firm Equity Services, INC.

September 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 20, 2023.

Customer alleges that the recommendation to rollover contributions to her variable annuity in April and June 2022 was not consistent with her needs given her age and retirement. Customer has requested that the funds be moved to another product without incurring fees.

There are Recent Customer Complaints with Broker Brooke Bordner in Firm U.S. Bancorp Advisors, LLC

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brooke Bordner (Bordner), currently associated with U.S. Bancorp Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bordner 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 $384,370.00 on March 20, 2023.

Complaint alleges failure to timely follow instructions with regard to third-party’s request to change power of attorney resulting in financial loss.

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

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Vanclef (Vanclef), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vanclef 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 $500,000.00 on March 20, 2023.

Failure to supervise, negligence, breach of fiduciary duty, fraud, breach of contract and financial elder abuse.

Broker Hernany Martinez Corona in Actinver Securities, INC. Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hernany Martinez Corona (Martinez Corona), previously associated with Actinver Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinez Corona 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 $700,000.00 on March 15, 2023.

Hernany Martinez Corona was a Subject Of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty, negligence/negligent misrepresentation/omission, common law fraud, breach of contract, and negligent supervision.

Broker Gregory Barson in LPL Financial LLC Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Barson (Barson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barson 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 $99,000.00 on March 17, 2023.

The customer alleges breach of fiduciary duty, lack of suitability, misrepresentations and failure to supervise in regards to investments made on behalf of the customer.