Securities Lawyers Blog

There are Recent Customer Complaints with Broker Craig Tomasek in Firm Edward Jones

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Tomasek (Tomasek), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tomasek recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

The client alleges that the Financial Advisor failed to move to cash in their individual account as requested but rather moved them to a bond fund and that he placed trades on 3/12 not 3/9.

There are Recent Customer Complaints with Broker Karen Boykin in Firm LPL Financial LLC

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karen Boykin (Boykin), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Boykin 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 $500,000.00 on April 02, 2020.

Karen Boykin was a subject of the customers’ complaint against her member firms that asserted the following causes of action: breach of fiduciary duty, violation of Missouri’s Securities Act \\u00a7 409-5.501 et al, common law fraud, breach of contract, negligence/negligent misrepresentation/omission, unjust enrichment, and negligent supervision.

There are Recent Customer Complaints with Broker David Krumrey in Firm Oppenheimer & CO. INC.

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Krumrey (Krumrey), previously associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Krumrey 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 $300,000.00 on April 02, 2020.

Claimants allege claims for breach of fiduciary duty, negligence and breach of contract in connection with the management of their account.From 1/1/2016 – 12/31/2017

Broker Sean Grubb in Northwest Investment Advisors, INC. Firm Has Customer Complaint

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Grubb (Grubb), currently associated with Northwest Investment Advisors, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Grubb recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 06, 2020.

Failure to supervise.\<char_lb_r>\, September 2015 to March 2020

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

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carrie Lawlor (Lawlor), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lawlor recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

The customer alleges unsuitable investment recommendations January 2020 until April 2020.

Broker Joseph Valdes in Lincoln Investment Firm Has Customer Complaint

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Valdes (Valdes), currently associated with Lincoln Investment, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Valdes 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 $30,000.00 on April 03, 2020.

Clients allege they met with their registered representative on March 9, 2020 to request their accounts be moved to a fixed interest option. The requested transactions were not performed by the registered representative, causing their accounts to incur market losses.

Broker David Hollenberg in RBC Capital Markets, LLC Firm Has Customer Complaint

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Hollenberg (Hollenberg), currently associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hollenberg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 06, 2020.

Client complains that his realized gains were exceptionally high, despite being assured by his financial advisor that he would have no capital gains issues. Time frame is 6/2019 thru 12/2019.

Broker Burton Apfelbaum in LPL Financial LLC Firm Has Customer Complaint

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Burton Apfelbaum (Apfelbaum), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Apfelbaum 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 April 03, 2020.

Customer alleges a failure to follow instructions to move accounts to cash. Activity period: 2/27/20 to 4/3/20.

Broker Christopher Dursi in LPL Financial LLC Firm Has Customer Complaint

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Dursi (Dursi), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dursi 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 $20,000.00 on April 07, 2020.

ON OCTOBER 11, 2019, CHRIS DURSI MET WITH THE CLIENT TO PURCHASE AN INDEX ANNUITY THROUGH PEOPLE’S SECURITIES, INC. (‘PSI’). IN CONNECTION WITH THE PURCHASE OF THE ANNUITY, THE CLIENT SOLD SHARES OF STOCK HELD AT ANOTHER BROKER-DEALER UNAFFILIATED WITH PSI. THE CLIENT ALLEGED THAT MR. DURSI DID NOT INFORM AND ADVISE HER OF CERTAIN TAX LIABILITIES INCURRED FROM SELLING THE STOCK.

There are Recent Customer Complaints with Broker Mark Reinstein in Firm Dempsey Lord Smith, LLC

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Reinstein (Reinstein), previously associated with Dempsey Lord Smith, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Reinstein 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 $175,000.00 on April 06, 2020.

Reinstein was a subject of the customer\\u2019s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty; violation of FINRA rules; breach of contract; negligence; and negligent supervision.