Securities Lawyers Blog

Broker Joseph Rosen in UBS Financial Services INC. Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 23, 2025.

Time Frame: October 15, 2024 to November 24th, 2025\, \, What were the allegations against the individual? The client alleges that her Financial Advisor failed to invest the funds as instructed that she deposited in her account. The client further alleges she instructed her Financial Advisor to use dollar cost averaging to invest in Pace.

Broker Lindsey Wedner in Equitable Advisors, LLC Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lindsey Wedner (Wedner), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wedner 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 $5,000.00 on December 31, 2025.

Customer alleges RR misrepresented Variable annuities sold from 2019 to 2024.

Broker Thomas Shultz in Realta Equities, INC. Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Shultz (Shultz), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shultz 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 $103,000.00 on December 30, 2025.

Ignored their customer’s explicit instructions and instead recommended speculative securities.

There are Recent Customer Complaints with Broker Marc Korsch in Firm Arkadios Capital

February 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 30, 2025.

Claim: Breach of Fiduciary duty.

There are Recent Customer Complaints with Broker Shirley Wong in Firm Emerson Equity LLC

February 3, 2026 | by Staff Attorney

Currently financial advisor Shirley Wong (Wong), currently employed by brokerage firm Emerson Equity LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 pending customer complaint with a damage request of $500,000.00 on January 06, 2026.

Statement of claim alleges improper suitability of private placement investments for client in 2017. \, Information contained herein was obtained from the U5 amendment filing by NI Advisors.

There are Recent Customer Complaints with Broker Jon Paul Cirelli in Firm Alexander Capital, L.p.

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Paul Cirelli (Cirelli), currently associated with Alexander Capital, L.p., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Cirelli recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 24, 2025.

Claimants allege breach of fiduciary duty, unsuitability, reasonable basis for recommendation. In or around 2022.

Broker Stewart Ginn in Independent Financial Group, LLC Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stewart Ginn (Ginn), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ginn 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 $213,142.00 on December 24, 2025.

Alleges accounts were subjected to high management fees, margin charges and commissions that were not suitable/appropriate and that resulted in losses.

There are Recent Customer Complaints with Broker David Lagrange in Firm Berthel, Fisher & Company Financial Services, INC.

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lagrange (Lagrange), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lagrange 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 $577,239.00 on January 05, 2026.

Suitability/negligence 2020

There are Recent Customer Complaints with Broker Andrew Roberson in Firm Emerson Equity LLC

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Roberson (Roberson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roberson 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 $570,000.00 on January 07, 2026.

Customer alleges the representative recommended and facilitated an unapproved private “solar program” investment, which was unsuitable and involved misrepresentations and omissions, resulting in substantial losses. Customer also alleges inadequate supervision by firm. \, Information contained herein was obtained by the U5 amended filing by Park Avenue Securities.

There are Recent Customer Complaints with Broker Victor Rodriguez in Firm Edward Jones

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Rodriguez (Rodriguez), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 December 23, 2025.

Authorized party for HOA alleges that Financial Advisor represented that invested in a 20 year treasury bond with a 4.61% interest rate was a highly liquid investment with good rate of return. However,\, following purchase of the bond, authorized party became aware that the interest rate is 2.61 percent and as of now has an unrealized loss of $25,000.