Articles Posted in Reg BI

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

FINRA BrokerCheck shows a settled customer complaint on January 12, 2026.

The client verbally complained the investment recommendation was unsuitable. (9/13/2024 – 6/18/2025)

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

FINRA BrokerCheck shows a pending customer complaint on January 13, 2026.

Customer states representative recommended investments in REITS that resulted in financial losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Cecere (Cecere), currently associated with Tsg Capital Advisors, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cecere 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 $167,000.00 on January 13, 2026.

Client alleged investment losses were incurred due to poor recommendations by his RR at the time between 10/27/2021 through 11/08/2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Honor Rodgers (Rodgers), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodgers 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 $5,055.72 on January 12, 2026.

Client alleged they did not receive services for management fees they paid. Allegation activity dates: 06/24/2024 – 01/12/2026

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Erben (Erben), previously associated with Td Private Client Wealth LLC, has at least one disclosable event. These events include one customer complaint, alleging that Erben 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 January 08, 2026.

Client alleges unauthorized purchases in his brokerage account. The alleged transactions occurred on August 26, 2025 and November 25, 2025. The matter is currently under investigation and client is being contacted for more information.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Olinger (Olinger), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Olinger 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 January 08, 2026.

Breach of fiduciary duty and regulation best interest

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theresa Allen (Allen), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Allen 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 $130,069.20 on January 15, 2026.

Customer alleges unsuitable investment recommendation. Activity dates 2021- March 2023,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Peeler (Peeler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peeler 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 $40,000.00 on January 08, 2026.

Customer verbally alleged misrepresentation of annuity feature 11/1/2010-4/9/2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Albert Wojcik (Wojcik), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wojcik 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 $100,000.00 on January 14, 2026.

Customers state representative recommended investments in REITS that were not within their best interest and that resulted in financial losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patty Dawson (Dawson), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dawson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 14, 2026.

Customer alleged registered representative made an unsuitable investment recommendation.

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