Securities Lawyers Blog

Broker Timothy Nobles in Investment Planners, INC. Firm Has Customer Complaint

October 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Nobles (Nobles), currently associated with Investment Planners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nobles 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 $25,000.00 on August 01, 2025.

Client attorney alleges unsuitable investment, breach of fiduciary duty/ negligence.

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

October 13, 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 one disclosable event. These events include one customer complaint, 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 $135,500.00 on August 01, 2025.

Customer lent $140,000 which had not been paid back.

Broker David Sosa in Cetera Investment Services LLC Firm Has Customer Complaint

October 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Sosa (Sosa), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sosa 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 $98,500.00 on August 01, 2025.

Claimant alleges unsuitable investment recommendations which resulted in losses.

Broker Tally Lykins in Money Concepts Capital CORP Firm Has Customer Complaint

October 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 04, 2025.

Personal Representatives of estate of deceased customer alleges negligence, breach of contract, negligent misrepresentation, violation of state and federal securities laws, and elder abuse in connection with investments purchased by the customer.

There are Recent Customer Complaints with Broker Earl Newsome in Firm LPL Financial LLC

October 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Earl Newsome (Newsome), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Newsome 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 $198,000.00 on August 04, 2025.

The customers allege that their investment in two (2) indexed universal life insurance policies in 2016 was poorly designed and unsuitable for their financial circumstances.

Broker Stephen Kerutis in Cetera Advisors LLC Firm Has Customer Complaint

October 13, 2025 | by Staff Attorney

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

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

Clients alleges unsuitable recommendations.

Broker James Orielly in PFS Investments INC. Firm Has Customer Complaint

October 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 04, 2025.

Client alleged I failed to actively monitor and manage his brokerage mutual fund accounts, despite not being required to do so, and thereby caused him to miss market gains.

There are Recent Customer Complaints with Broker Timothy Darragh in Firm Stifel, Nicolaus & Company, Incorporated

October 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Darragh (Darragh), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Darragh 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 August 04, 2025.

Claimants allege breach of contract and warranties, promissory estoppel; violation of state securities statutes; violation of Regulation Best Interest; breach of fiduciary duty and negligence.

Broker Raymond Garner in Lifemark Securities Corp. Firm Has Customer Complaint

October 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Garner (Garner), previously associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Garner 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 $130,000.00 on August 01, 2025.

Allegations pertain to an investment in an alternative product intended to be a small component of a larger diversified portfolio. Investment was purchased in 03/2020. Unfortunately, the company that issued the investment has since filed Chapter 11 bankruptcy. As a result, allegations include unsuitable recommendation, breach of contract, breach of fiduciary duty, and negligence. LifeMark believes this to be a suitable and appropriate transaction given the information available at the time of the transaction, concerning the investment product as well as the clients’ financials, risk tolerance and objectives as represented by the clients.

Broker Joe Doggett in Money Concepts Capital CORP Firm Has Customer Complaint

October 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 04, 2025.

Personal Representatives of estate of deceased customer alleges negligence, breach of contract, negligent misrepresentation, violation of state and federal securities laws, and elder abuse in connection with investments purchased by the customer. Ses.