Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on January 26, 2026.

Claimant asserts various claims regarding the recommendation to purchase a variable annuity and whole life insurance policy.

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

FINRA BrokerCheck shows a pending customer complaint on January 20, 2026.

Time frame: Unspecified. The claimant alleges unsuitable investments, breach of contract and breach of fiduciary duty.

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

FINRA BrokerCheck shows a pending customer complaint on January 20, 2026.

Claimant alleges alternative investments purchased were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dinesh Saxena (Saxena), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Saxena 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 21, 2026.

The claimant alleges the variable annuity he purchased in February 2014 was mispresented and is unsuitable, highly risky, and speculative.

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

FINRA BrokerCheck shows a pending customer complaint on January 22, 2026.

Time Frame: April 19th, 2024\, \, What were the allegations against the individual? The client alleges their financial advisor did not act in their best interest as they did not warn them about the true tax consequences of their recommendation to sell their variable annuities.

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

FINRA BrokerCheck shows a pending customer complaint on January 29, 2026.

FINRA arbitration filed by five clients alleging representative solicited funds from clients, misappropriated those funds, and made numerous misrepresentations to clients regarding their policies, including falsifying documents, and impersonating employees of the broker-dealer, NMIS, FINRA, and legal counsel in written communication to customers.

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

FINRA BrokerCheck shows a pending customer complaint on January 28, 2026.

Plaintiffs’ complaint involves the transfer of approximately $371,000 into a fixed annuity in or about March 2025 based on purported misrepresentations made by the adviser that they would receive a bonus on the transferred funds and the transfer was in their best financial interest. The complaint alleges claims of misrepresentation, breach of contract and fiduciary duty, wrongfully obtained compensation from the transaction and seeks unspecified damages.

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

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Violations of federal securities laws, violation of California securities laws, California unfair, unlawful and fraudulent business practices, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence., investment purchased in 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Nelson (Nelson), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Nelson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Violations of federal securities laws, violation of California securities laws, California unfair, unlawful and fraudulent business practices, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence, investment purchased in 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jacob Adams (Adams), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Adams 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 29, 2026.

The claimants allege that the recommendation of the real estate investment was unsuitable.

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