Securities Lawyers Blog

There are Recent Customer Complaints with Broker Ryan Finch in Firm Emerson Equity LLC

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Finch (Finch), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Finch 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 $542,000.00 on July 09, 2025.

Violation of Federal Securities Laws; Violation of the Colorado Securities Act; Violation of the Colorado Consumer Protection Act; Breach of Contract; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence, trades placed in 2021

There are Recent Customer Complaints with Broker Susan Butler in Firm Edward Jones

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Butler (Butler), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $31,000.00 on September 23, 2025.

The client alleges FA misappropriated funds in the amount of $31,000.00.

Broker Adrian Przyboro in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 16, 2025.

Client verbally complained that securities were not sold prior to enrollment into a third party managed account, delaying the inception. Client requests reimbursement for lost interest income caused by the delay. (3/27/2025-12/3/2024)

There are Recent Customer Complaints with Broker Amy Zwaan in Firm Alexander Capital, L.p.

November 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 19, 2025.

Claimants allege breach of fiduciary duty and engaging in prohibited transactions with respect to an ERISA plan from 2023-2024.

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

November 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 29, 2025.

Client alleges misrepresentation of tax consequences related to the surrender of variable universal life insurance policies.

There are Recent Customer Complaints with Broker Michael Montalvo in Firm Raymond James & Associates, INC.

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Montalvo (Montalvo), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Montalvo 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 June 09, 2025.

Client alleged Financial Advisor took an undisclosed loan and failed to repay. Allegation Activity Date: 10/31/2024.

There are Recent Customer Complaints with Broker Gihan Fernando in Firm Cetera Investment Services LLC

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gihan Fernando (Fernando), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fernando 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 $500,000.00 on August 11, 2025.

Client alleges misrepresentation and unsuitable advice during sales process on or around October 2015 – January 2017.

Broker Alvaro Jiron in LPL Financial LLC Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alvaro Jiron (Jiron), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jiron 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 August 11, 2025.

Client indicated financial professional misrepresented this product as safe and secure.

There are Recent Customer Complaints with Broker Hagop Nalbandian in Firm Vanderbilt Securities, LLC

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hagop Nalbandian (Nalbandian), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nalbandian 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 $5,000.00 on August 04, 2025.

Unsuitable recommendation of corporate bonds in 2018.

Broker Lina Bowman in Commonwealth Financial Network Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lina Bowman (Bowman), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Bowman 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 $72,518.67 on August 25, 2025.

Customer alleging sale of variable annuity was unsuitable.