Securities Lawyers Blog

Broker Bertram Unger in Edward Jones Firm Has Customer Complaint

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bertram Unger (Unger), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Unger 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 $15,290.59 on August 11, 2023.

The client alleges that trades placed by the Financial Advisor on February 8, 2021, were not authorized.

Broker Edmund Iannelli in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 13, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Edmund Iannelli (Iannelli), currently employed by Ameriprise Financial Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Iannelli’s most recent customer complaint alleges that Iannelli recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on August 14, 2023.

Claimant alleges that from 2019- 2023 her advisor recommended unsuitable investments, specifically structured products.

Broker Jeffrey Labelle in LPL Financial LLC Firm Has Customer Complaint

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Labelle (Labelle), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Labelle 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 $200,000.00 on August 10, 2023.

Customer alleges that certain alternative investments purchased for her account were unsuitable, and that representative made alleged misrepresentations concerning the investments. Time period unspecified.

There are Recent Customer Complaints with Broker Brett Ellen in Firm Metric Financial INC.

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Ellen (Ellen), previously associated with Metric Financial INC., has at least one disclosable event. These events include one customer complaint, alleging that Ellen 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 $204,812.00 on August 15, 2023.

Customer alleges breach of fiduciary duty, breach of contract, material misrepresentations and omissions, and negligence related to alternative investments.

There are Recent Customer Complaints with Broker Mary Swanson in Firm Stifel, Nicolaus & Company, Incorporated

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Swanson (Swanson), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Swanson 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 $76,000.00 on August 15, 2023.

Claimants allege breach of contract, negligence, and breach of fiduciary duty.

Broker George Kuruvilla in Lifemark Securities Corp. Firm Has Customer Complaint

July 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 14, 2023.

The clients are alleging insufficient due diligence, unsuitability, insufficient supervision, fraud, violation of the New York Consumer Protection Act, breach of contract, breach of fiduciary duty and negligence.

There are Recent Customer Complaints with Broker Stephen Smith in Firm Wells Fargo Clearing Services, LLC

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Smith (Smith), currently associated with Wells Fargo Clearing Services, 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 award / judgment customer complaint on August 21, 2023.

In or around May 2020, Claimant states that the Financial Advisor violated duties through inaction to prevent unauthorized trades in the account of their elderly client with declining health.

Broker Evan Lunsford in LPL Financial LLC Firm Has Customer Complaint

July 12, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Evan Lunsford (Lunsford), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lunsford’s most recent customer complaint alleges that Lunsford recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint on August 18, 2023.

Customer alleges that during the time period 2018-2020, representative made investment recommendations in structured notes tied to the energy market that were unsuitable for claimant’s investment objectives.

There are Recent Customer Complaints with Broker Garrett Tognozzi in Firm J.P. Morgan Securities LLC

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Garrett Tognozzi (Tognozzi), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tognozzi 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 $75,000.00 on August 18, 2023.

Customer alleges misrepresentation and unsuitable recommendation regarding managed account investment. Activity dates 11.1.19 – 11.1.19.

Broker Donald Dever in UBS Financial Services INC. Firm Has Customer Complaint

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Dever (Dever), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Dever 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 $200,000.00 on August 22, 2023.

Time Frame: August 21, 2022\, \, What were the allegations against the individual? The Client alleges his Financial Advisor did not follow his instructions as he did not want his shares all sold at one time but rather feathered thru to maximize the value.