Securities Lawyers Blog

Broker David Dunfee in Key Investment Services LLC Firm Has Customer Complaint

October 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Dunfee (Dunfee), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dunfee 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 $5,800.00 on September 04, 2025.

Client alleges misrepresentation regarding his October 2024 investment into Blackrock ETF Managed account in the amount of $281,671.19.

There are Recent Customer Complaints with Broker Ting Chen in Firm Landolt Securities, INC.

October 28, 2025 | by Staff Attorney

Currently financial advisor Ting Chen (Chen), currently employed by brokerage firm Landolt Securities, INC. 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 $1,180,140.98 on August 28, 2025.

Plaintiff alleges negligence, breach of fiduciary duty, and misrepresentation relating to two private placement investments made in 2018 which have underperformed.

There are Recent Customer Complaints with Broker Robert Moore in Firm J. Alden Associates, INC.

October 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Moore (Moore), currently associated with J. Alden Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 $900,000.00 on September 03, 2025.

Breach of fiduciary duty, negligence, misrepresentation, based upon the recommendation by the rep Robert Moore in July 2021 to invest in Spring Hills Holdings.

There are Recent Customer Complaints with Broker Robert Smith in Firm Emerson Equity LLC

October 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 09, 2025.

Violation of Common Law Fraud, Breach of Fiduciary Duty, Negligence

Broker Gary Sauve in Centaurus Financial, INC. Firm Has Customer Complaint

October 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Sauve (Sauve), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sauve 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 $95,000.00 on September 08, 2025.

The customers allege that in 2020, the Registered Representative recommended unsuitable, high-risk, investments.

There are Recent Customer Complaints with Broker Andreas Heinrich in Firm LPL Enterprise, LLC

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andreas Heinrich (Heinrich), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heinrich 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 $43,087.88 on October 03, 2025.

Customer alleges that unsuitable insurance products were sold as investments in December 2020. Allegations include a failure to disclose charges, expenses and fees.

Broker Cody Keller in MML Investors Services, LLC Firm Has Customer Complaint

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cody Keller (Keller), previously associated with MML Investors Services, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Keller 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 $10,000.00 on October 07, 2025.

The complainant alleges that beginning in/and around August 2023, the registered representative made unauthorized financial decisions regarding her investments, and placed funds, without her knowledge or authorization into a whole life insurance policy. The complainant further alleges that if her money had been properly invested, she would have significant financial gains.

Broker Timothy Darnell in Bankers Life Securities, INC. Firm Has Customer Complaint

October 27, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Timothy Darnell (Darnell) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Darnell was employed by Bankers Life Securities, INC. at the time of the activity. If you have been a victim of Darnell’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $400,000.00 on September 30, 2025.

The arbitration alleges the RR made unsuitable recommendations, alleges breach of fiduciary duty, negligence, misrepresentation, and selling away related to an alleged Ponzi scheme with First Liberty Building & Loan, LLC

Broker Daniel Rose in J.P. Morgan Securities LLC Firm Has Customer Complaint

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Rose (Rose), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rose 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 $6,137.00 on September 29, 2025.

Customer alleges misrepresentation regarding managed account. Activity date 9.15.25

Broker Andrey Kulikov in Edward Jones Firm Has Customer Complaint

October 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 26, 2025.

Clients allege their financial advisor placed unauthorized trades in several accounts, which resulted in the loss of thousands of dollars of which they are seeking compensation.