Reg BI

Broker Kirk Badii in Independent Financial Group, LLC Firm Has Customer Complaint

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Badii (Badii), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Badii 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 $3,000,000.00 on March 05, 2026.

Statement of Claim alleges concerns regarding the handling of the Claimant’s investment accounts and related loan activity.

There are Recent Customer Complaints with Broker Jeremy Friedman in Firm LPL Financial LLC

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Friedman (Friedman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Friedman 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 $89,964.00 on March 04, 2026.

Executrix alleges advisor failed to inform client that an investment strategy recommendation would result in significant capital gains and possible tax consequences.

There are Recent Customer Complaints with Broker Alfredo Banuelos in Firm J.P. Morgan Securities LLC

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfredo Banuelos (Banuelos), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Banuelos 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 $96,914.37 on March 06, 2026.

Claimant claims unauthorized trading regarding managed account investment. Activity dates December 2020 – June 2025.

There are Recent Customer Complaints with Broker Karl Suess in Firm Quincy Wells Capital, LLC

May 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 09, 2026.

Purchased DST as part of a 1031 tax-deferred exchange. Claimant alleges a lack of suitability and due diligence, breach of contract and fiduciary duty, among other claims. Purchase dates of investments include May 2, 2022, and May 31, 2022.

Broker Christopher Phillips in Morgan Stanley Firm Has Customer Complaint

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Phillips (Phillips), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Phillips 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 $9,712.00 on March 06, 2026.

Customer alleges unsuitable investments in February 2025.

There are Recent Customer Complaints with Broker William Chan in Firm Citigroup Global Markets INC.

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Chan (Chan), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Chan 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 $550,000.00 on March 04, 2026.

Claimant alleges unsuitability; violations of California’s Blue Sky law; negligence; failure to supervise; failure to act in claimant’s best interest; use of manipulative, deceptive, or other fraudulent devices; breach of fiduciary duty; and breach of contract.

There are Recent Customer Complaints with Broker Ronan Cox in Firm Arete Wealth Management, LLC

May 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2026.

Client alleges, inter alia, that the recommendation to invest in an alternative investment fund was unsuitable 2008 damages unspecified

Broker Jason Lowther in Concorde Investment Services, LLC Firm Has Customer Complaint

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Lowther (Lowther), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lowther 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 March 05, 2026.

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

Broker Mark Rubin in Raymond James & Associates, INC. Firm Has Customer Complaint

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Rubin (Rubin), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rubin 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 $550,000.00 on March 09, 2026.

Client alleged advisor sold them an unsuitable investment, resulting in losses. Allegation activity dates: 2/1/2022 through 4/30/2025.

There are Recent Customer Complaints with Broker Michael Swain in Firm Raymond James Financial Services, INC.

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Swain (Swain), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Swain 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 $1,700,000.00 on March 09, 2026.

Claimant alleges his accounts were over-diversified and should have appreciated in value more than they did.