Securities Lawyers Blog

There are Recent Customer Complaints with Broker Stefan Tunaru in Firm Equity Services, INC.

September 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 20, 2023.

Customer alleges that the recommendation to rollover contributions to her variable annuity in April and June 2022 was not consistent with her needs given her age and retirement. Customer has requested that the funds be moved to another product without incurring fees.

There are Recent Customer Complaints with Broker Brooke Bordner in Firm U.S. Bancorp Advisors, LLC

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brooke Bordner (Bordner), currently associated with U.S. Bancorp Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bordner 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 $384,370.00 on March 20, 2023.

Complaint alleges failure to timely follow instructions with regard to third-party’s request to change power of attorney resulting in financial loss.

There are Recent Customer Complaints with Broker Jason Vanclef in Firm American Trust Investment Services, INC.

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Vanclef (Vanclef), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vanclef 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 $500,000.00 on March 20, 2023.

Failure to supervise, negligence, breach of fiduciary duty, fraud, breach of contract and financial elder abuse.

Broker Hernany Martinez Corona in Actinver Securities, INC. Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $700,000.00 on March 15, 2023.

Hernany Martinez Corona was a Subject Of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty, negligence/negligent misrepresentation/omission, common law fraud, breach of contract, and negligent supervision.

Broker Gregory Barson in LPL Financial LLC Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Barson (Barson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barson 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 $99,000.00 on March 17, 2023.

The customer alleges breach of fiduciary duty, lack of suitability, misrepresentations and failure to supervise in regards to investments made on behalf of the customer.

There are Recent Customer Complaints with Broker Darin Guthrie in Firm Fidelity Brokerage Services LLC

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darin Guthrie (Guthrie), previously associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guthrie 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 $60,000.00 on March 16, 2023.

Allegation that representative made misrepresentations in connection with a recommendation to transfer an annuity to the Firm. The notation stated that there was some sort of improper transfer of an annuity in 03/16/2023. The complaint came in after I left the firm voluntarily in February of 2023. I did not get compensated for transfers of annuities at Fidelity so this transaction is unclear to me. I did not receive any type of notification about this event, rather I found it on my U4 when I was applying for other roles. I have worked with annuities for over 20 years and have always taken pride in doing the right thing for clients. Fidelity settled with the client and I never had a chance to defend or explain myself.

Broker Ronald Richer in Garden State Securities, INC. Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Richer (Richer), previously associated with Garden State Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Richer 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 $50,000.00 on March 20, 2023.

Suitability, breach of fiduciary responsibility, loss opportunity.

There are Recent Customer Complaints with Broker Damon Gallagher in Firm Morgan Stanley

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Damon Gallagher (Gallagher), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gallagher 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 March 16, 2023.

Claimants alleges, failure to supervise with respect to Financial Advisor’s management of accounts 2019 – 2022

Broker Michael Farrell in Morgan Stanley Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Farrell (Farrell), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Farrell 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 March 16, 2023.

Claimants alleges, failure to supervise with respect to Financial Advisor’s management of accounts 2019 – 2022

Broker William Borleis in Cabin Securities, INC. Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Borleis (Borleis), currently associated with Cabin Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Borleis 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 $100,000.00 on March 16, 2023.

Client alleges investment is unsuitable.