Securities Lawyers Blog

There are Recent Customer Complaints with Broker Shawn Everett in Firm Regulus Financial Group, LLC

January 24, 2026 | by Staff Attorney

Currently financial advisor Shawn Everett (Everett), currently employed by brokerage firm Regulus Financial Group, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint on September 16, 2021.

Claimant alleges that the registered representative recommended unsuitable high-risk REITs.

There are Recent Customer Complaints with Broker Douglas Filipovits in Firm Cetera Advisors LLC

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Filipovits (Filipovits), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Filipovits 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 September 16, 2021.

Claimant alleges that their registered representative recommended unsuitable, high-risk, and illiquid investments.

There are Recent Customer Complaints with Broker Nicole Alexander Duvall in Firm Mwa Financial Services INC.

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Alexander Duvall (Alexander Duvall), currently associated with Mwa Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Alexander Duvall 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 $5,000.00 on September 20, 2021.

Client alleges the January 2016 recommendation to purchase a Symetra Advantage Income Single Premium Annuity (SPIA) in the amount of $99795.08 was mispresented.

Broker Alberto Valdes in Insigneo Securities, LLC Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alberto Valdes (Valdes), currently associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valdes 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 September 15, 2021.

Claimant alleges registered representative recommended unsuitable investment. Dates of activity: 8/30/2016 to 6/30/2021.

Broker Steven Cho in Herbert J. Sims & Co, INC. Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Cho (Cho), currently associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cho 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 $29,501.00 on September 15, 2021.

Unsuitability, misrepresentation/omission

Broker Ronan Gaudario in Voya Financial Advisors, INC. Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronan Gaudario (Gaudario), previously associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gaudario 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 $100,001.00 on September 20, 2021.

Claimant alleges that in 2015 the representative improperly recommended investment in high risk, illiquid alternative investments, and misrepresented the investments as safe and providing a 6% return.

Broker Keith Chandler in Ameriprise Financial Services, INC. Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

Previously financial advisor Keith Chandler (Chandler), previously employed by brokerage firm Ameriprise Financial Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $203,000.00 on September 20, 2021.

Claimant alleges that she was recommended to invest in unsuitable and risky privately traded BDCs, FSKR and FSEP.

Broker Raymond Kubick in MML Investors Services, LLC Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 17, 2021.

The complainant alleges that in or around August 2020, her assets were placed in the wrong risk allocation, which resulted in lower than expected returns.

Broker Jacob Shapira in Morgan Stanley Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 14, 2021.

Attorney for client alleged unauthorized trading with respect to equity investment – January 20, 2015

Broker Barbara Meyers in Westpark Capital, INC. Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbara Meyers (Meyers), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meyers 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 $50,000.00 on September 16, 2021.

According to a disclosure by Crown Capital Securities, the customer alleges lack of proper due diligence, lack of suitability and overconcentration in regards to an investment in an alternative product.