Securities Lawyers Blog

There are Recent Customer Complaints with Broker Brian Barber in Firm Equitable Advisors, LLC

May 12, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Brian Barber (Barber), currently associated with Equitable Advisors, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Barber 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 with a damage request of $5,000.00 on April 10, 2026.

Client alleges the RR engaged in excessive trading, misrepresented fees, and made unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Donald Genord in Firm Level Four Financial, LLC

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Genord (Genord), currently associated with Level Four Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Genord 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 $168,338.00 on April 27, 2026.

Don genord failed to provide advice relating to the annuitization of an annuity during the time frame of February 8, 2023 (the notice date) and April 10, 2013 (the annuitization date).

There are Recent Customer Complaints with Broker Shaun Stein in Firm Arete Wealth Management, LLC

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shaun Stein (Stein), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stein 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 $94,246.40 on April 13, 2026.

Client alleges unsuitable investment.

There are Recent Customer Complaints with Broker Jamie Nowakowski in Firm Equitable Advisors, LLC

May 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 10, 2026.

Claimant alleges unsuitable investments.

Broker Rafael Klein in David Lerner Associates, INC. Firm Has Customer Complaint

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rafael Klein (Klein), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Klein 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 $100,001.00 on April 13, 2026.

Unsuitability, misrepresentations and breach of fiduciary duty. \, \, Allegation period: 4/19/2016 the date of the first purchase of Energy 11 to April 13, 2026 the date the SOC was received.

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

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suihock Goy (Goy), currently associated with Ni Advisors, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Goy 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 April 22, 2026.

Mr. Goy was supervisor, but not representative of record and was not involved in recommendation of the product to the client. Claims breach of contract, breach of fiduciary duty, negligence, etc., regarding investing in illiquid product twice during 2024.

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

May 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 15, 2026.

The client alleges misrepresentations, including on his monthly brokerage statements, regarding inter-account transfers and trading from 2007-2021.

Broker Paul Baldino in Equitable Advisors, LLC Firm Has Customer Complaint

May 12, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Paul Baldino (Baldino), currently associated with Equitable Advisors, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Baldino 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 with a damage request of $5,000.00 on April 10, 2026.

Client alleges the RR engaged in excessive trading, misrepresented fees, and made unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Roger Bowlin in Firm Aurora Securities

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Bowlin (Bowlin), currently associated with Aurora Securities, has at least 12 disclosable events. These events include 12 customer complaints, alleging that Bowlin 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 $1,000,000.00 on April 14, 2026.

Customer alleges unsuitable investment recommendation in real estate security.

Broker Edward Turley in J.P. Morgan Securities LLC Firm Has Customer Complaint

May 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 23, 2026.

Claimant alleges exercise of discretion and unsuitable trading. Activity dates July 2015 – September 2021.