Securities Lawyers Blog

Broker Michael Graham in LPL Financial LLC Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Graham (Graham), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Graham 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 $145,000.00 on February 18, 2026.

Client alleges the advisor misrepresented guaranteed principal and returns on a secured loan related to a real estate deal in February of 2023.

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

April 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 3 disclosable events. These events include 3 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 $41,000.00 on February 24, 2026.

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

Broker T Thompson in Truist Investment Services, INC. Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 20, 2026.

Clients allege high risk and unsuitable securities trading regarding managed investments.

Broker Vincent Camarda in IBN Financial Services, INC. Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Camarda (Camarda), previously associated with IBN Financial Services, INC., has at least 11 disclosable events. These events include 3 customer complaints, 8 regulatory events, alleging that Camarda 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 February 19, 2026.

Unsuitable recommendations, negligence and gross negligence, and omissions of fact and material misstatements during the representative’s period of association, March 2021 to June 2022.

There are Recent Customer Complaints with Broker Robert Thorne in Firm LPL Financial LLC

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Thorne (Thorne), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thorne 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 $6,000.00 on February 24, 2026.

The client alleges the advisor failed to follow instructions in investing funds and caused delays in transferring the clients funds out of LPL. In addition, the client incorrectly alleges that the advisor failed to return advisory fees as as agreed.9/1/24-2/16/26

Broker Stephen Meskan in Cabot Lodge Securities LLC Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Meskan (Meskan), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meskan 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 $250,000.00 on February 24, 2026.

Claimants allege Violation of the Wisconsin Uniform Securities Act, Fraud/Negligent Misrepresentation and Negligence with regard to various investment products they purchased from 2019 to 2025.

There are Recent Customer Complaints with Broker Jeffrey Noard in Firm Emerson Equity LLC

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Noard (Noard), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Noard 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 $250,000.00 on February 24, 2026.

Claimants allege Violation of Wisconsin Uniform Securities Act, Fraud/Negligent Misrepresentation, and Negligence with regard to various investment products they purchased from 2019 to 2025.

There are Recent Customer Complaints with Broker Larry Kiefer in Firm Great Point Capital LLC

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Kiefer (Kiefer), previously associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kiefer 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 $50,000.00 on February 25, 2026.

Purchased Inspired Health Care Income Fund V, claimed lack of suitability and due diligence of product.

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

April 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 31, 2020.

The customer alleges unauthorized trading on August 10, 2020.

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

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Di Jin (Jin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jin 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 $30,646.00 on September 03, 2020.

Through their attorney, the customer alleges misrepresentations were made, as well as the unauthorized purchase of bonds from March 3, 2020 until March 20, 2020.