Securities Lawyers Blog

There are Recent Customer Complaints with Broker Seth Nannini in Firm Capital Investment Group, INC.

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Nannini (Nannini), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nannini 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 $80,000.00 on May 30, 2025.

Relative to a purchase of GWG Holdings L-Bonds by the client, GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022.

There are Recent Customer Complaints with Broker Eduardo Mordujovich in Firm Valmark Securities, INC.

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eduardo Mordujovich (Mordujovich), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mordujovich 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 $100,000,000.00 on June 03, 2025.

Breach of Fiduciary Duty, Negligent Misrepresentation, Gross Negligence, and Unjust Enrichment

There are Recent Customer Complaints with Broker Tony Barouti in Firm Emerson Equity LLC

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Barouti (Barouti), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Barouti 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 $25,000.00 on June 04, 2025.

Breach of fiduciary duty; negligence and negligent misrepresentation; breach of contract; overconcentration (negligence and breach of fiduciary duty); negligence-violation of Regulation Best Interest

Broker Austin Dutton in American Trust Investment Services, INC. Firm Has Customer Complaint

July 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 05, 2025.

Negligence and failure to supervise

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

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Ann Nouchi (Nouchi), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nouchi 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 $50,000.00 on June 02, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

There are Recent Customer Complaints with Broker Christopher Hayes in Firm Fifth Third Securities, INC.

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hayes (Hayes), currently associated with Fifth Third Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hayes 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 $320,000.00 on June 02, 2025.

Customer alleged sales of CMO/MBS securities were not suitable.

Broker Raleigh Galiano in LPL Financial LLC Firm Has Customer Complaint

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raleigh Galiano (Galiano), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Galiano 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 $250,000.00 on June 05, 2025.

Customer alleges that investments made in 2013 were unsuitable for the customer’s investment objectives and risk tolerance.

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

July 21, 2025 | by Staff Attorney

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

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

Client alleges failure to follow instructions.

Broker Theodore Roman in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Roman (Roman), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Roman 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 $972,498.00 on June 03, 2025.

The client alleges misrepresentation and suitability.

Broker Pamela Mcwhorter in Newbridge Securities Corporation Firm Has Customer Complaint

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamela Mcwhorter (Mcwhorter), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcwhorter 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 $750,000.00 on June 03, 2025.

Claimant asserts claims related to alleged misuse of margin.