Articles Tagged with Integrity Alliance

| by

Currently financial advisor Michael Lucia (Lucia), currently employed by brokerage firm Integrity Alliance, LLC. 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 settled customer complaint with a damage request of $5,000.00 on July 06, 2020.

Claimant alleges unsuitable recommendations of REITs and BDCs. Date of Activity:8/23/15 to 6/17/20

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Bunger (Bunger), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Bunger 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 $850,000.00 on August 10, 2020.

Unsuitable recommendations, material misrepresentatins, elder abuse

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Baer (Baer), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Baer 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 $850,000.00 on August 10, 2020.

Unsuitable recommendations, material misrepresentatins, elder abuse

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Husserl (Husserl), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Husserl 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 $38,000.00 on January 16, 2026.

‘Customer allegations concerning mismanagement of customer’s investment advisory account.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Maguire (Maguire), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Maguire 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 $300,000.00 on December 09, 2020.

Claimant alleges Maguire misrepresented the timing of exit from VUL positions.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Tolbert (Tolbert), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Tolbert 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 April 01, 2025.

Claimants alleges various claims claims against the firm and the registered representative in connection with the recommendation of an alternative investment.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Shonsey (Shonsey), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Shonsey 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 $300,000.00 on February 02, 2023.

Claimants allege they were recommended and overconcentrated in unsuitable investments

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Martin (Martin), currently associated with Integrity Alliance, Llc., has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 November 26, 2024.

Insurance agent sold client [redacted] a fixed annuity with colorado banker life. Colorado bankers life became insolvent. Agent is named in civil litigation filed by the client in the state of pennsylvania

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design