Securities Lawyers Blog

Broker Trawnegan Gall in Wealthforge Securities, LLC Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Trawnegan Gall (Gall), currently associated with Wealthforge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gall 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 $756,377.00 on November 18, 2025.

From investment activity in September and October 2022, claimant alleges fraud, misrepresentation, omission of facts, unsuitable recommendations, breach of contract, breach of fiduciary duty, and negligence.

Broker Goutam Datta in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Goutam Datta (Datta), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Datta 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 $258,993.00 on November 17, 2025.

Claimant asserts various causes of action including breach of fiduciary duty, negligence, negligent supervision, fraud, and breach of contract related to alleged unauthorized trading in her account.

Broker Shmuel Maya in Insigneo Securities, LLC Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shmuel Maya (Maya), previously associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maya 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 $200,000.00 on November 19, 2025.

Client, through counsel, alleges unsuitable investment recommendations in Managed Account. Activity dates December 6, 2017 to December 6, 2017.

Broker Gabriel Candea in Emerson Equity LLC Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 18, 2025.

Suitability; Misleading Recommendations; Violation of Reg BI; Misrepresentation and Omissions.

Broker Steven Rini in Morgan Stanley Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Rini (Rini), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Rini 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 $234,600.00 on November 19, 2025.

CLIENT ALLEGED, INTER ALIA, THAT THE INVESTMENT IN AN EXCHANGE FUND WAS MISREPRESENTED 2024

There are Recent Customer Complaints with Broker Gregory Berg in Firm LPL Financial LLC

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Berg (Berg), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berg 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 $200,000.00 on November 18, 2025.

Customer alleges misrepresentations and unauthorized annuitization of variable annuity

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

January 3, 2026 | 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 one disclosable event. These events include one customer complaint, 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 on November 18, 2025.

Breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of federal securities laws; violation of the California Securities Act; violation of Best Interest Obligation

There are Recent Customer Complaints with Broker Robert Orbin in Firm Citizens Securities, INC.

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Orbin (Orbin), currently associated with Citizens Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Orbin 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 $1,900,000.00 on November 19, 2025.

Alleged the failure to update the beneficiary designations on a deceased client’s accounts and that the failures, oversights and negligence resulted in the proceeds of the accounts being erroneously distributed to an incorrect beneficiary(ies) upon Mr. Hough’s passing instead of passing entirely to Mrs. Hough as Mr. Hough directed at the 2022 meeting.

Broker William Tunink in LPL Financial LLC Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least 7 disclosable events. These events include 7 customer complaints, alleging that Tunink 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 $205,000.00 on November 17, 2025.

Broker obtained loans from customer, some of which were used for an investment opportunity away from the firm. Time frame: November 2024 to September 2025.

Broker Matthew Wilson in Ameriprise Financial Services, LLC Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Wilson (Wilson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 $42,000.00 on November 19, 2025.

Claimant alleges that in 2015/2016, it was recommended she invest her retirement funds in a ROTH IRA account rather than contribute to her 403(b) account through her employer. In July 2025, Claimant discovered she had failed to contribute to her ROTH IRA account. Claimant now alleges Mr. Wilson should have followed up with her regarding her failure to contribute to her ROTH IRA.