Securities Lawyers Blog

There are Recent Customer Complaints with Broker Michael Mandarino in Firm G. A. Repple & Company

December 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $150,000.00 on June 04, 2025.

Claimant instructed Respondent that she wanted her investable assets to be invested conservatively in safe, income-producing investments. Instead, Respondent recommended a series of unsuitable, unrelated, high-risk, non-traditional investment products, including GWG Holdings.

There are Recent Customer Complaints with Broker David Kuga in Firm Planmember Securities Corporation

December 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $41,980.00 on October 02, 2025.

Client alleges that the Representative failed to educate her on a cheaper option for her account and did not earn the fees paid.

Broker Leo Chien in Cetera Investment Services LLC Firm Has Customer Complaint

December 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 17, 2025.

Claimant alleges unsuitable investment recommendations.

Broker Mark Grueninger in RBC Capital Markets, LLC Firm Has Customer Complaint

December 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Grueninger (Grueninger), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grueninger 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 $1,885,552.00 on October 08, 2025.

Time frame: July 2018 to December 2019\, \, Allegations: Claimants&#39; counsel alleges that Respondents allowed Claimants&#39; former Certified Public Accountant to exceed the scope of his Power of Attorney resulting in his use of Claimants&#39; line of credit resulting in losses.

Broker Edward Fernandez in Capulent LLC Firm Has Customer Complaint

December 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 06, 2025.

Claimants allege unsuitable recommendation of a portfolio of three DST investments., the sponsors of which were Crew/Versity and Nelson Partners.

Broker Janet Moses in Raymond James & Associates, INC. Firm Has Customer Complaint

December 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janet Moses (Moses), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Moses 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 $8,342.00 on June 25, 2025.

Client alleged that an uninvested cash balance in their account earned no return resulting in a loss of opportunity for growth.

Broker Larry Tolbert in Integrity Alliance, LLC. Firm Has Customer Complaint

December 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on April 01, 2025.

Claimants alleges various claims claims against the firm and the registered representative in connection with the recommendation of an alternative investment.

There are Recent Customer Complaints with Broker Timothy Sherer in Firm Emerson Equity LLC

December 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 03, 2025.

Breach of Contract and warranties, promissory estoppel; consumer protection and deceptive trade practices act; Violations of securities statutes; negligence and gross negligence; misrepresentation and negligent misrepresentation; Breach of fiduciary duty; Unjust enrichment; vicarious and joint and severable liability; Violation of Regulation Best Interest.

Broker Robert Lybbert in Edward Jones Firm Has Customer Complaint

December 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,137,533.29 on October 17, 2025.

Plaintiff alleges Fraud, Negligent Representation, Breach of Duty, Unlawful Trade Practices Act and Negligence.

There are Recent Customer Complaints with Broker Edward Turrisi in Firm Key Investment Services LLC

December 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $74,331.82 on October 14, 2025.

When your financial advisor is providing advice they must adhere to the SEC’s Regulation Best Interest (Reg BI) rule and standard of care. Reg BI replaced the former “suitability” rule and created a ‘best interest’ standard for brokerage firms and registered representatives. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened.