Starboard Dylan DST Investigation | Goodman & Nekvasil, P.A. Investors who purchased Starboard Dylan DST through brokers or financial advisors should be aware of the significant risks associated with Delaware Statutory Trust (DST) investments. According to the SEC Form D filing, Starboard Dylan DST is a private placement that raised over $7 million under Regulation D—an offering structure that lacks …
Investor Alert: Pending $400,000 Complaint Filed Against California Broker John Kacheong Lee – Investors May Recover Losses
Investor Alert: Pending $400,000 Complaint Filed Against California Broker John Kacheong Lee – Investors May Recover Losses John Kacheong Lee (CRD #2948622), a broker and investment adviser currently registered with Independent Financial Group, LLC in Pleasanton, California, is facing a pending FINRA arbitration claim filed in September 2025. According to FINRA’s BrokerCheck, the customer alleges unsuitable investment recommendations, misrepresentation, negligence, …
Investor Alert: Pending Customer Complaint Against Wally Smith – May Recover Investor Losses
Investor Alert: Pending Customer Complaint Against Wally Smith – May Recover Investor Losses Pending Customer Complaint Against Wally Smith – May Recover Investor Losses. George Wallace Smith GEORGE WALLACE SMITH 3RD, GEORGE WALLACE SMITH, Wally Smith CRD#: 4844156 In September 2025, a pending FINRA arbitration claim (Docket No. 25-01880) was filed against George Wallace Smith III (CRD # 4844156), alleging …
Investor Alert: Pending Customer Complaint Against ALVARO MAURICIO JIRON – May Recover Investor Losses
Investor Alert: Pending Customer Complaint Against ALVARO MAURICIO JIRON – May Recover Investor Losses Pending Customer Complaint Against ALVARO MAURICIO JIRON – May Recover Investor Losses. ALVARO MAURICIO JIRON ALVARO M JIRON CRD#: 4226147 In August 2025, a customer filed a FINRA complaint against Alvaro Mauricio Jiron (CRD#: 4226147), alleging that he misrepresented an investment as “safe and secure” while registered …
Investor Alert: Thaddeus Michael Eubanks (CRD #5888014) – Investors May Recover Losses
Investor Alert: Thaddeus Michael Eubanks (CRD #5888014) – Investors May Recover Losses Thaddeus Michael Eubanks (CRD#: 5888014), also known as Thaddeus Eubanks, is a financial advisor with Edward Jones in Yuba City, California. According to FINRA BrokerCheck, a customer complaint filed in September 2025 claims that Eubanks made unsuitable investment recommendations involving Fisker Inc. stock and margin trading. The investor …
Investor Alert: David Christian Waal (CRD #1226437) — May Recover Investment Losses
Investor Alert: David Christian Waal (CRD #1226437) — May Recover Investment Losses David Christian Waal (CRD #1226437), a broker currently registered with Emerson Equity LLC in Irvine, California, is the subject of a pending customer complaint filed in September 2025. According to FINRA BrokerCheck, the complaint alleges common-law fraud, breach of fiduciary duty, and negligence involving real estate security investments, …
Investor Alert: Broker Rikki JR Foster (CRD #6075051) Facing $700,000 Investor Complaint – Investors May Recover Losses
Investor Alert: Broker Rikki JR Foster (CRD #6075051) Facing $700,000 Investor Complaint – Investors May Recover Losses Rikki JR Foster (also known as Rikki J. Foster II) – CRD #6075051 – is the subject of a pending customer complaint alleging serious misconduct involving unsuitable investment recommendations and misrepresentation. According to FINRA BrokerCheck, a customer filed a complaint in September 2025 …
Investor Alert: Former Broker Brandon Spano Faces Serious Allegations – May Recover Investor Losses
Investor Alert: Former Broker Brandon Spano Faces Serious Allegations – May Recover Investor Losses Brandon V. Spano, also known as Brandon Spano (CRD #4601257), is the subject of a pending investor complaint alleging serious misconduct involving client funds. According to FINRA BrokerCheck, the complaint—filed in November 2023—accuses Spano of misappropriating $110,000 from a client while registered with Equitable Advisors, LLC. …
Investor Alert: Pending FINRA Complaint Filed Against Jonathan Hilton Malinger (CRD #5201626) – May Recover Investor Losses
Investor Alert: Pending FINRA Complaint Filed Against Jonathan Hilton Malinger (CRD #5201626) – May Recover Investor Losses Pending Customer Complaint Against Jonathan Hilton Malinger (CRD #5201626) – May Recover Investor Losses. JONATHAN HILTON MALINGER CRD#: 5201626 Jonathan Hilton Malinger (CRD #5201626), a registered broker with Wedbush Securities, Inc. in Pasadena, California, is the subject of a pending FINRA arbitration (Case …
Investor Alert: Pending Customer Complaint Against Vincent THOMAS Ferrara JR – May Recover Investor Losses
Investor Alert: Pending Customer Complaint Against Vincent THOMAS Ferrara JR – May Recover Investor Losses Pending Customer Complaint Against Vincent THOMAS Ferrara JR – May Recover Investor Losses. Vincent THOMAS Ferrara JR Vincent THOMAS Ferrara CRD#: 1791902 he most recent customer complaint publicly disclosed on Vincent Thomas Ferrara Jr.’s FINRA BrokerCheck record alleges misappropriation of funds in a case filed …