Securities Lawyers Blog

Broker Jesse Butler in Pruco Securities, LLC. Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesse Butler (Butler), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $36,867.68 on March 02, 2026.

The customer stated that the representative recommended to liquidate and transfer funds from a fixed annuity to the representative\\u2019s business. The customer believed the funds would be reinvested into another annuity. She indicated that she was not informed of any penalties associated with the transfer. The customer further alleged that a promissory note was later presented to her by the representative and signed approximately three years after the 2020 transfer, but the document was backdated to January 2020.

Broker Paul Volpe in LPL Financial LLC Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Volpe (Volpe), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Volpe 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 March 16, 2026.

Claimant alleges the FP recommended unsuitable alternative investments.

There are Recent Customer Complaints with Broker Curtis Sathre in Firm Quincy Wells Capital, LLC

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Sathre (Sathre), currently associated with Quincy Wells Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sathre 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 $754,000.00 on March 20, 2026.

Claimants assert claims against Respondent, for, among other things, violation of\, Regulation Best Interest, 17 C.F.R. \\u00a7 240.15l-1 (“Reg BI”); unsuitable investment strategy and\, recommendations; failure to conduct adequate due diligence, material misrepresentations and\, omissions; violation of FINRA Rules, violation of federal and state securities laws, including\, violation of the California Corporations Code, Cal. Corp. Code \\u00a7 25401 and 25501; breach of\, fiduciary duty; common law fraud; negligence and gross negligence; and breach of contract.

Broker Andrew Egber in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Egber (Egber), previously associated with Steward Partners Investment Solutions, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Egber 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 $697,328.77 on February 27, 2026.

Customers complained that they made an outside investment through the Financial Advisor and would like to be made whole on funds that were not returned. (5/19/2015-1/11/2018)

Broker Martin Stevens in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Stevens (Stevens), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Stevens 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 $200,000.00 on March 02, 2026.

Customer alleges registered representative recommended unsuitable investments.

There are Recent Customer Complaints with Broker Kim Kunz in Firm Westpark Capital, INC.

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Kunz (Kunz), previously associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kunz 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 $1.00 on March 18, 2026.

Customer alleges that the firm, through its registered representative, recommended and sold unsuitable GWG Holdings, Inc. L-Bonds, a high-risk, illiquid alternative investment, and failed to conduct reasonable due diligence, misrepresented or omitted material risks, and failed to adequately supervise such recommendations. Claimants seek unspecified damages, interest, attorneys\\u2019 fees, and costs. The firm denies the allegations and intends to defend the matter. The arbitration is currently pending.

Broker Gustavo Ventura in Edward Jones Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 06, 2026.

Client alleges that the Registered Representative failed to conduct due diligence in connection with Know Your Customer.

Broker David Kangas in Wealthforge Securities, LLC Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Kangas (Kangas), currently associated with Wealthforge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kangas 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 $1,000,000.00 on April 02, 2026.

From investment activity in 2022, claimant alleges the following: negligence, lack of suitability, fraud, lack of due diligence, misrepresentation, failure to supervise, omitting material facts, breach of contract, and breach of fiduciary duty

Broker Mallory Spence in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mallory Spence (Spence), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Spence 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 $20,276.00 on April 02, 2026.

Client alleges misrepresentation of capital gains resulting in unexpected tax consequences.

There are Recent Customer Complaints with Broker Michael Kupferman in Firm Landolt Securities, INC.

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kupferman (Kupferman), currently associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kupferman 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 $800,000.00 on March 31, 2026.

Claimant alleges unsuitability, material misrepresentations, concealment, negligence, and breach of fiduciary duty in connection with an investment made in GWG L Bonds at his PRIOR firm.