Securities Lawyers Blog

Broker Brian Lineberger in UBS Financial Services INC. Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Lineberger (Lineberger), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lineberger 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 $163,105.00 on December 08, 2020.

Time Frame: January 13, 2020 to March 27, 2020 \<char_lb_r>\, The Trustees Attorney alleges the FA failed to reduce the equity stake in the account as instructed. He further alleges had the changes been implemented as requested, it would have insulated the client from subsequent downturn by a significant margin.

Broker Lu Ling Li in Transamerica Financial Advisors, LLC Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lu Ling Li (Li), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Li 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 $54,500.00 on December 04, 2020.

Client alleged that rep misrepresented Jackson National variable annuity sold to him. Client also alleged that the VA was unsuitable. Client also alleged that rep executed excessive trades in his third party managed account.

Broker Jeffrey Lahr in Private Client Services, LLC Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Lahr (Lahr), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lahr 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 $150,000.00 on December 04, 2020.

The customer alleges 3 investments recommended by the representative were unsuitable for his needs. The 3 investment products were purchased between October 2014 through August 2015.

There are Recent Customer Complaints with Broker Christopher Pullaro in Firm Kalos Capital, INC.

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Pullaro (Pullaro), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pullaro 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 $718,000.00 on December 07, 2020.

Breach of fidciary duty, suitability, over concentration in alternative investments, failure to supervise.

Broker Steven Nelson in Private Client Services, LLC Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Nelson (Nelson), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $150,000.00 on December 04, 2020.

The customer alleges 3 investments recommended by the representative were unsuitable for his needs. The 3 investment products were purchased between October 2014 through August 2015.

Broker David Pierce in Kalos Capital, INC. Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Pierce (Pierce), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pierce 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 $718,000.00 on December 07, 2020.

Breach of fidciary duty, suitability, overconcentration in alternative investments, failure to supervise.

There are Recent Customer Complaints with Broker Therese Vita in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Therese Vita (Vita), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Vita recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 03, 2020.

The customer alleges unsuitable investment recommendations and misrepresentations from October 2019 until March 2020.

There are Recent Customer Complaints with Broker Jesse Lunin Pack in Firm Osaic Wealth, INC.

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesse Lunin Pack (Lunin Pack), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lunin Pack 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 $600,000.00 on December 07, 2020.

Lunin-Pack was a subject of the customers’ complaint against his member firm that asserted the following causes of action: unsuitability; breach of fiduciary duty; negligence; negligent misrepresentation; intentional misrepresentation; negligent supervision, hiring and retention; and breach of contract.

There are Recent Customer Complaints with Broker Bruce Horek in Firm State Farm Vp Management Corp.

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Horek (Horek), previously associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Horek 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 $7,500.00 on December 08, 2020.

The customer has expressed concern over the handling of a transaction that was requested on 9/10/2020 and was not completed until 9/22/2020. He states there was a approx $7,500 loss that he wants corrected.

Broker Lawrence Margolin in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Margolin (Margolin), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Margolin 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 December 07, 2020.

Claimant asserts claims for fraud, breach of fiduciary duty, negligence, gross negligence and breach of contract in connection with allegedly unsuitable investments in annuities and ETFs. From 4/1/2014 to 9/30/2020.