Securities Lawyers Blog

There are Recent Customer Complaints with Broker Nicholas Stovall in Firm Gradient Securities, LLC

July 17, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Nicholas Stovall (Stovall) 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 Stovall was employed by Gradient Securities, LLC at the time of the activity. If you have been a victim of Stovall’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on July 20, 2023.

Respondent recommended promissory notes issued by Premier Global Corporation\<char_lb_r>\, (PGC), Premier Factoring, LLC (PF-LLC) and/or Premier Factoring Group, LLC (PFG-LLC)\<char_lb_r>\, to six of his Minnesota investment advisory clients between 2018 and 2021 without\<char_lb_r>\, reasonable grounds to believe that the recommendations were suitable in violation of\<char_lb_r>\, Minn. Rule 2876.5023, subp. 1(A) (2023). These Minnesota investors then purchased over $1.1M in promissory notes from PFLLC,\<char_lb_r>\, PGC, and/or PFG-LLC between March of 2018 and May of 2021, incurring\<char_lb_r>\, substantial if not total losses in violation of Minn. Stat. 80A.69 \\u00a7 502(a)(2) (2024). Respondent failed to report these activities and the Premier Transactions to his\<char_lb_r>\, investment firm in violation of the Minnesota Securities Act and other matters\<char_lb_r>\, entrusted to the commissioner in violation of Minn. Stat. 45.027, subd. 7(2) (2024).Respondent failed to report these activities and the Premier Transactions to his\<char_lb_r>\, investment firm in violation of the Minnesota Securities Act and other matters\<char_lb_r>\, entrusted to the commissioner in violation of Minn. Stat. 45.027, subd. 7(2) (2024).

There are Recent Customer Complaints with Broker Scott Roslonowski in Firm Ameriprise Financial Services, LLC

July 17, 2025 | by Staff Attorney

Currently financial advisor Scott Roslonowski (Roslonowski), currently employed by brokerage firm Ameriprise Financial Services, LLC 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 settled customer complaint with a damage request of $200,000.00 on July 19, 2023.

The Claimants allege their advisor recommended unsuitable investments including variable annuities, variable universal life insurance and REITs.

There are Recent Customer Complaints with Broker Milind Dalal in Firm Purshe Kaplan Sterling Investments

July 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Milind Dalal (Dalal), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Dalal 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 July 20, 2023.

Plaintiff alleges negligence and breach of fiduciary duty against Milind Dalal and his RIA in relation to outside business investment activity not associated with the RIA.

Broker Robert Edgecombe in Next Financial Group, INC. Firm Has Customer Complaint

July 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 19, 2023.

Customer alleges that her investment in a fixed index annuity on July 15, 2021 was not in her best interest.

There are Recent Customer Complaints with Broker Michael Valenta in Firm Cambridge Investment Research, INC.

July 17, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Valenta (Valenta), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Valenta concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on July 19, 2023.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

Broker Bruce Davis in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Davis (Davis), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $1,100,000.00 on July 18, 2023.

Claimants allege, inter alia, breach of fiduciary duty and fraud in relation to account activity. (2008-2022)

There are Recent Customer Complaints with Broker Joshua Rushing in Firm Cetera Advisors LLC

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Rushing (Rushing), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rushing 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 $35,000.00 on July 23, 2023.

The client alleges trades place in November of 2022 were not authorized.

There are Recent Customer Complaints with Broker Russ Kory in Firm David Lerner Associates, INC.

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russ Kory (Kory), previously associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kory 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 $99,999.00 on July 24, 2023.

Unsuitability, misrepresentation/omission and breach of fiduciary duty with regards to E12 and SOAEX\, June 12, 2007, date of the first purchase to July 24, 2023 the date the SOC was received.

There are Recent Customer Complaints with Broker Charles Castro in Firm David Lerner Associates, INC.

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Castro (Castro), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Castro 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 $99,999.00 on July 24, 2023.

Hold recommendation SOAEX, APLE\, June 12, 2007, date of the first purchase to July 24, 2023 the date the SOC was received.

Broker Kevin Canterbury in Coastal Equities, INC. Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Canterbury (Canterbury), previously associated with Coastal Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Canterbury 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 July 21, 2023.

Claimants allege unsuitable investments.