Securities Lawyers Blog

Broker Samuel Mills in Edward Jones Firm Has Customer Complaint

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Mills (Mills), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mills 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 $180,340.23 on October 07, 2025.

Client alleges misrepresentation of return on portfolio for the year 2024 resulting in a loss of $180,340.23.

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

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lino Gutierrez (Gutierrez), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gutierrez 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 September 26, 2025.

The customer alleges unsuitable investments and misrepresentations.

Broker Ian Mcelreath in Foreside Fund Services, LLC Firm Has Customer Complaint

October 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 26, 2025.

Violation of Federal Securities Laws, Violation of the California Securities Act, Breach of Contract, Common Law Fraud, Breach of Fiduciary Duty, Negligence and Gross Negligence,

There are Recent Customer Complaints with Broker Patrick Lam in Firm Emerson Equity LLC

October 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 02, 2025.

Violations of Federal Securities Laws, Violations of the California Securities Act, Breach of Contract, Common Law Fraud, Breach of Fiduciary Duty, Negligence and Gross Negligence. 2022

There are Recent Customer Complaints with Broker Alan Lowenfels in Firm David Lerner Associates, INC.

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Lowenfels (Lowenfels), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lowenfels 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 $165,000.00 on October 07, 2025.

Unsuitability, misrepresentation and omission, August 19, 2015 the date of the first purchase of Energy 11 to October 7, 2025 the date the SOC was received.

There are Recent Customer Complaints with Broker Blake Fellows in Firm Arkadios Capital

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Fellows (Fellows), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Fellows 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 $2,250,000.00 on October 01, 2025.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customers investment objectives between 2019 – 2025.

There are Recent Customer Complaints with Broker Robert Dechick in Firm D.h. Hill Securities, Lllp

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Dechick (Dechick), currently associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Dechick 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 $65,000.00 on October 03, 2025.

Customer was a client beginning 2015 through 2025. Client alleges unsuitable recommendation of GWG L-Bond in 2022.

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

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sullivan (Sullivan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 $25,650.00 on October 03, 2025.

Client alleges misrepresentation of fees.

There are Recent Customer Complaints with Broker William Tunink in Firm LPL Financial LLC

October 27, 2025 | 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 4 disclosable events. These events include 4 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 $91,800.00 on October 06, 2025.

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

Broker Todd Juenger in LPL Financial LLC Firm Has Customer Complaint

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Juenger (Juenger), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Juenger 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 $42,275.00 on October 02, 2025.

Advisor took loan from customer without firm approval.