Securities Lawyers Blog

There are Recent Customer Complaints with Broker Suihock Goy in Firm Ni Advisors

February 3, 2026 | by Staff Attorney

Currently financial advisor Suihock Goy (Goy), currently employed by brokerage firm Ni Advisors 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 pending customer complaint with a damage request of $500,000.00 on January 02, 2026.

Statement of claim alleges improper suitability of private placements sold by representative under Suihock Goy’s supervision to client in 2017. Mr. Goy was not involved in the sale.

Broker William Tunink in LPL Financial LLC Firm Has Customer Complaint

February 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 2 disclosable events. These events include 2 customer complaints, alleging that Tunink 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 January 08, 2026.

Advisor borrowed funds from customer for investment opportunity away from the Firm.

Broker Jason Griffin in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jason Griffin (Griffin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Griffin concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

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

Attorney for customer alleges unauthorized and excessive trading in the account in October and November 2025.

There are Recent Customer Complaints with Broker Steven Cho in Firm Herbert J. Sims & Co, INC.

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Cho (Cho), currently associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cho 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 $100,000.00 on December 30, 2025.

Unsuitable, misrepresentation 4/29/2019 to 9/20/2020

Broker Timothy Dabulis in Paulson Investment Company LLC Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Dabulis (Dabulis), previously associated with Paulson Investment Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dabulis 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 January 09, 2026.

Customer invested 25k in GWG Lbonds in October 2020. Since the client lost all her principle and interest, they are asking to recover the losses.\,

There are Recent Customer Complaints with Broker Stuart Valen in Firm Equitable Advisors, LLC

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stuart Valen (Valen), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valen 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 VA Annuities sold from 2019 to 2024.

Broker Thomas Curran in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Curran (Curran), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Curran 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 $213,614.15 on December 24, 2025.

The clients alleged the advisor incorrectly sold positions in their NQ Ameriprise Select Separate accounts, as opposed to processing an in-kind transfer as requested, causing significant capital gains in March 2024.

Broker Larry Leppo in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 06, 2026.

Client claims that the Financial Advisor did not disclose the extent of the tax consequences of his recommendation to liquidate securities. (6/4/2025)

Broker Sharon Mack in Edward Jones Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sharon Mack (Mack), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mack 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 $16,969.00 on July 08, 2021.

Client alleged that unauthorized trades resulted in tax liabilities and expenses.

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

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ritchie Hoffman (Hoffman), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoffman 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 $150,000.00 on July 06, 2021.

From 2011 through 2018 the clients allege the representative sold the clients investments which were unsuitable and misrepresented to the clients. The client further allege their accounts were overconcentrated in illiquid investments. The clients also allege the firm failed to conduct adequate due diligence of the investments and failed to supervise the actions of the representative.