Securities Lawyers Blog

There are Recent Customer Complaints with Broker Alan Lowenfels in Firm David Lerner Associates, INC.

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Lowenfels (Lowenfels), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lowenfels 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 $165,000.00 on October 07, 2025.

Unsuitability, misrepresentation and omission, August 19, 2015 the date of the first purchase of Energy 11 to October 7, 2025 the date the SOC was received.

There are Recent Customer Complaints with Broker Blake Fellows in Firm Arkadios Capital

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Fellows (Fellows), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Fellows 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 $2,250,000.00 on October 01, 2025.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customers investment objectives between 2019 – 2025.

There are Recent Customer Complaints with Broker Robert Dechick in Firm D.h. Hill Securities, Lllp

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Dechick (Dechick), currently associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Dechick 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 $65,000.00 on October 03, 2025.

Customer was a client beginning 2015 through 2025. Client alleges unsuitable recommendation of GWG L-Bond in 2022.

There are Recent Customer Complaints with Broker Michael Sullivan in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sullivan (Sullivan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 $25,650.00 on October 03, 2025.

Client alleges misrepresentation of fees.

There are Recent Customer Complaints with Broker William Tunink in Firm LPL Financial LLC

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Tunink 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 $91,800.00 on October 06, 2025.

Advisor borrowed funds from customer for investment opportunity away from the Firm.

Broker Todd Juenger in LPL Financial LLC Firm Has Customer Complaint

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Juenger (Juenger), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Juenger 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 $42,275.00 on October 02, 2025.

Advisor took loan from customer without firm approval.

There are Recent Customer Complaints with Broker Stephen Horrell in Firm MML Investors Services, LLC

October 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 01, 2025.

The complainants allege that the registered representative, misrepresented their Variable Universal Life policies, which were issued in/and around July 2000 as stable, long-term investments, without highlighting the volatility and management requirements of the investment component.

There are Recent Customer Complaints with Broker Fariba Madison in Firm Vanderbilt Securities, LLC

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fariba Madison (Madison), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madison 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 $500,000.00 on September 26, 2025.

Unsuitable recommendation of corporate bonds between February 2018 and March 2021.

There are Recent Customer Complaints with Broker James Walesa in Firm Arkadios Capital

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Walesa (Walesa), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Walesa 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 $80,000.00 on October 07, 2025.

Alleges unsuitable product

Broker Joachim Terzi in J.P. Morgan Securities LLC Firm Has Customer Complaint

October 24, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joachim Terzi (Terzi), currently associated with J.P. Morgan Securities LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Terzi concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a final customer complaint with a damage request of $203,007.00 on December 15, 2022.

Time frame: November 2019 – December 2021. Claimant alleges suitability, churning, breach of fiduciary duty, breach of contract, unauthorized trading, negligence, misrepresentation, omission of material facts