Securities Lawyers Blog

Broker Peter Po in Emerson Equity LLC Firm Has Customer Complaint

June 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Po 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 $229,600.00 on May 26, 2026.

Claims breach of contract, breach of fiduciary duty, negligence, etc. For purchase of three products during 2017, 2023, and 2024. One of the issuers recently declared bankruptcy, and one issuer ceased paying income.

Broker Gregory Berg in LPL Financial LLC Firm Has Customer Complaint

June 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Berg (Berg), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Berg 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 $275,000.00 on June 08, 2026.

Client alleges omission of material facts concerning a variable annuity purchased in February 2007.

Broker Richard Ceffalio in LPL Financial LLC Firm Has Customer Complaint

June 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Ceffalio (Ceffalio), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ceffalio 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 $1,055,486.74 on May 20, 2026.

Customers allege the registered representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer\\u2019s investment objectives in 2020.

There are Recent Customer Complaints with Broker Lisa Rossi in Firm LPL Financial LLC

June 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Rossi (Rossi), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rossi 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 May 27, 2026.

\, CUSTOMER ALLEGATIONS SURROUNDING REPRESENTATIVE’S FAILURE TO FOLLOW CUSTOMER INSTRUCTIONS RESULTING IN CUSTOMER BEING OVER CHARGED IN CUSTOMER’S ADVISORY ACCOUNTS. \,

There are Recent Customer Complaints with Broker Buddy Mason in Firm LPL Financial LLC

June 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Buddy Mason (Mason), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mason 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 May 26, 2026.

Advisor presented investment opportunity away from the Firm which resulted in losses.

There are Recent Customer Complaints with Broker Malcolm Bourne in Firm Stifel, Nicolaus & Company, Incorporated

June 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Malcolm Bourne (Bourne), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Bourne 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 $5,000,000.00 on May 18, 2026.

Claimants allege breach of fiduciary duty, negligence, false representations, violations of Florida Securities and Investor Protection Act, violations of Florida\\u2019s Elder Abuse Statute and FINRA Rule 2165, intentional infliction of emotional distress, and violation of Florida\\u2019s fraud and deceptive practices statute.

There are Recent Customer Complaints with Broker Alfred Dinicola in Firm Msc – Bd, LLC

June 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfred Dinicola (Dinicola), currently associated with Msc – Bd, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dinicola 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 $350,000.00 on June 12, 2026.

Brokers are required to adhere to the SEC’s Regulation Best Interest (Reg BI) standard of care under the Securities Exchange Act of 1934 which establishes a ‘best interest’ standard for broker-dealers and associated persons. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts.

There are Recent Customer Complaints with Broker William Lefkowitz in Firm Aegis Capital Corp.

June 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Lefkowitz (Lefkowitz), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Lefkowitz 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 May 22, 2026.

Claimant alleges his account was churned and that the broker blocked a distribution from his trust account.

Broker Nina Palmer in Vanguard Marketing Corporation Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 07, 2020.

Client alleged she specifically told the advisor she needed the distribution from her ira to be for the 2019 tax year but the distribution did not occur until January 2, 2020, which cost her thousands of dollars. The activity occurred between December 19, 2019, through January 2, 2020.

There are Recent Customer Complaints with Broker Erik Teig in Firm Thrivent Investment Management INC.

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Teig (Teig), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Teig 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 $52,000.00 on April 03, 2020.

Customer alleged VUL purchased in August 2018 was not issued as requested.