Securities Lawyers Blog

There are Recent Customer Complaints with Broker David Lagrange in Firm Berthel, Fisher & Company Financial Services, INC.

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lagrange (Lagrange), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lagrange 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 $577,239.00 on January 05, 2026.

Suitability/negligence 2020

There are Recent Customer Complaints with Broker Andrew Roberson in Firm Emerson Equity LLC

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Roberson (Roberson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roberson 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 $570,000.00 on January 07, 2026.

Customer alleges the representative recommended and facilitated an unapproved private “solar program” investment, which was unsuitable and involved misrepresentations and omissions, resulting in substantial losses. Customer also alleges inadequate supervision by firm. \, Information contained herein was obtained by the U5 amended filing by Park Avenue Securities.

There are Recent Customer Complaints with Broker Victor Rodriguez in Firm Edward Jones

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Rodriguez (Rodriguez), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 $25,000.00 on December 23, 2025.

Authorized party for HOA alleges that Financial Advisor represented that invested in a 20 year treasury bond with a 4.61% interest rate was a highly liquid investment with good rate of return. However,\, following purchase of the bond, authorized party became aware that the interest rate is 2.61 percent and as of now has an unrealized loss of $25,000.

There are Recent Customer Complaints with Broker Suihock Goy in Firm Ni Advisors

February 3, 2026 | by Staff Attorney

Currently financial advisor Suihock Goy (Goy), currently employed by brokerage firm Ni Advisors 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 pending customer complaint with a damage request of $500,000.00 on January 02, 2026.

Statement of claim alleges improper suitability of private placements sold by representative under Suihock Goy’s supervision to client in 2017. Mr. Goy was not involved in the sale.

Broker William Tunink in LPL Financial LLC Firm Has Customer Complaint

February 3, 2026 | 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 2 disclosable events. These events include 2 customer complaints, alleging that Tunink 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 $75,000.00 on January 08, 2026.

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

Broker Jason Griffin in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jason Griffin (Griffin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Griffin concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on December 23, 2025.

Attorney for customer alleges unauthorized and excessive trading in the account in October and November 2025.

There are Recent Customer Complaints with Broker Steven Cho in Firm Herbert J. Sims & Co, INC.

February 3, 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 pending customer complaint with a damage request of $100,000.00 on December 30, 2025.

Unsuitable, misrepresentation 4/29/2019 to 9/20/2020

Broker Timothy Dabulis in Paulson Investment Company LLC Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Dabulis (Dabulis), previously associated with Paulson Investment Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dabulis 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 $25,000.00 on January 09, 2026.

Customer invested 25k in GWG Lbonds in October 2020. Since the client lost all her principle and interest, they are asking to recover the losses.\,

There are Recent Customer Complaints with Broker Stuart Valen in Firm Equitable Advisors, LLC

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stuart Valen (Valen), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valen 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 $5,000.00 on December 31, 2025.

Customer alleges RR misrepresented VA Annuities sold from 2019 to 2024.

Broker Thomas Curran in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Curran (Curran), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Curran 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 $213,614.15 on December 24, 2025.

The clients alleged the advisor incorrectly sold positions in their NQ Ameriprise Select Separate accounts, as opposed to processing an in-kind transfer as requested, causing significant capital gains in March 2024.