Reg BI

There are Recent Customer Complaints with Broker Matthew Denman in Firm Edward Jones

August 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Denman (Denman), previously associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Denman 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 $52,000.00 on June 11, 2020.

Client alleges that investing $250,000.00 in a single fund (JP Morgan Income Builder Fund) was too aggressive for her risk tolerance and she lost $52,000.00 as a result.

Broker Samuel Mandan in Raymond James Financial Services, INC. Firm Has Customer Complaint

August 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Mandan (Mandan), previously associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mandan 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 $100,000.00 on June 09, 2020.

Client alleges equity liquidations placed in June 2019 were not suitable.

There are Recent Customer Complaints with Broker Nico Sharp in Firm Citigroup Global Markets INC.

August 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nico Sharp (Sharp), previously associated with Citigroup Global Markets INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sharp 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 $1,000,000.00 on June 08, 2020.

Claimant alleges that between June 2017 and May 2018, financial advisor Nico Raphael Sharp invested over $1 million on behalf of the Trust in Chronos Capital Partners, LLC, a company Mr. Sharp co-founded, without disclosing his connection to the company. Claimant further alleges unsuitability, fraud, and breach of fiduciary duty against Mr. Sharp, who left the employ of CGMI on April 25, 2018, in connection with investment in Chronos.

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

August 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Longo (Longo), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Longo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

Customer alleges unsuitable investment recommendation in January 2020.

Broker Robert Dunbar in MML Investors Services, LLC Firm Has Customer Complaint

August 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Dunbar (Dunbar), previously associated with MML Investors Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dunbar 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 $2,528,328.00 on June 10, 2020.

Customer alleges that RR Dunbar misrepresented and/or omitted material facts relating to the sale of a life insurance policy.

There are Recent Customer Complaints with Broker Katherine Petrelli in Firm LPL Financial LLC

August 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 11, 2020.

Customer alleged that he instructed on June 3, 2020 that his account be sold if its value dropped to $487,500, and that these instructions were not followed. Customer sought compensation of between $7,000 and $16,980.93 in losses after account declined further in value. Activity period: 6/3/20 to 6/11/20.

There are Recent Customer Complaints with Broker Jon Pariser in Firm Independent Financial Group, LLC

August 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Pariser (Pariser), previously associated with Independent Financial Group, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Pariser 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 $1,202,739.63 on June 12, 2020.

Alleges representative was involved with individuals who were running a scam and that he convinced her to invest in fraudulent investments, resulting in a loss.

Broker Linda Kjerulf in LPL Financial LLC Firm Has Customer Complaint

August 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 13, 2020.

Client alleges rr sold off a portion of his portfolio on March 18, 2020 and March 19, 2020 without his knowledge or consent

There are Recent Customer Complaints with Broker Frederick Long in Firm UBS Financial Services INC.

August 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

Time Frame: April 23, 2020 to June 08, 2020 \<char_lb_r>\, The client alleges a failure to invest her accounts in a timely manner. The alleged damages are in excess of $5,000.00

Broker Barry Debany in Cetera Wealth Services, LLC Firm Has Customer Complaint

August 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 12, 2020.

Client alleges RR placed trades without her authorization and did not take tax implications into consideration.