Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge Quinto (Quinto), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Quinto 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.

Client’s attorney alleges, inter alia, that the client did not authorize the purchase of an alternative investment in his account  2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Drueke (Drueke), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Drueke 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 $136,328.15 on January 27, 2026.

Customer alleges registered representative recommended an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Cheney (Cheney), currently associated with M Holdings Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cheney 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 27, 2026.

Client alleges the RR misrepresented the terms of a variable life insurance policy purchased in 1993.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kade Orsburn (Orsburn), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Orsburn 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 $174,204.00 on January 30, 2026.

Former client alleges unsuitable advice and breach of fiduciary duty.

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

FINRA BrokerCheck shows a settled customer complaint on February 02, 2026.

The client verbally complained that he didn\\u2019t fully understand the impact of the upfront sales charges in the recommended purchase of the mutual funds. (1/29/2026-2/2/2026)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kirkland (Kirkland), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kirkland 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 $250,000.00 on February 02, 2026.

Customer alleges the investment they purchased were  not suitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michaela Rauscher (Rauscher), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rauscher 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 $20,000.00 on January 30, 2026.

Customer alleges the representative did not act in the best interest of the retail customer when recommending investment to the customer in April 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Antener (Antener), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Antener 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 $150,000.00 on February 03, 2026.

Customer filed a FINRA arbitration alleging, among other things, that the registered representative  engaged in unauthorized and unsuitable trading in connection with her investment accounts, including allegations that trades were effected without her knowledge or consent and without proper authorization. The matter remains pending.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Pritz (Pritz), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pritz 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 $174,204.00 on January 30, 2026.

Former client alleges unsuitable advice and breach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Comber (Comber), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Comber 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 $122,719.00 on January 29, 2026.

Claimant alleges, inter alia, unauthorized trading relating to four brokered CD investments – Nov 2020 to Jun 2021

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