Securities Lawyers Blog

There are Recent Customer Complaints with Broker Alexander Staverosky in Firm Emerson Equity LLC

February 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 16, 2025.

Suitability

Broker Wen Che in Emerson Equity LLC Firm Has Customer Complaint

February 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 15, 2025.

Breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA Rules, violation of federal securities laws; violation of the California Securities Act; violation of the California Securities Act; violation of Best Interest Obligations. Investment made in 2019

There are Recent Customer Complaints with Broker Michael Smith in Firm LPL Financial LLC

February 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Smith (Smith), currently associated with LPL Financial LLC, 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 with a damage request of $5,000.00 on December 16, 2025.

Customer alleges that two interval funds purchased in 2022 were misrepresented.

Broker Michael Culwell in Emerson Equity LLC Firm Has Customer Complaint

February 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 16, 2025.

Suitability

There are Recent Customer Complaints with Broker Victor Torres in Firm Equitable Advisors, LLC

February 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Torres (Torres), currently associated with Equitable Advisors, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Torres 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 December 11, 2025.

Claimants allege unsuitability and misrepresentation by the RR in connection with VUL policies purchased in 2020 and 2021.

Broker Alexander Fischman in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

February 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 15, 2025.

Client alleges misrepresentation with respect to commissions charged on individual trades and opening of managed account

There are Recent Customer Complaints with Broker Liliana Nunez in Firm Wells Fargo Clearing Services, LLC

February 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 13, 2025.

Client complained that the Financial Advisor pressured them into repositioning into higher risk investment products that were outside their goals and risk tolerance, and seeks compensation for losses. (10/6/2025-12/13/2025)

There are Recent Customer Complaints with Broker Jared Davis in Firm Edward Jones

February 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jared Davis (Davis), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $5,448.00 on December 16, 2025.

Client alleges financial advisor failed to disclose commissions on mutual fund purchases.

There are Recent Customer Complaints with Broker Ian Mcelreath in Firm Metric Financial, LLC

February 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Mcelreath (Mcelreath), currently associated with Metric Financial, 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 December 16, 2025.

Suitability

There are Recent Customer Complaints with Broker Ryan Murphy in Firm Truist Investment Services, INC.

February 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Murphy (Murphy), previously associated with Truist Investment Services, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Murphy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 15, 2025.

Client alleges investment opportunities offered were risk-free real estate investments that offered a guaranteed return at a much higher rate of return.\,