Reg BI

Broker Steven Ircha in Aegis Capital Corp. Firm Has Customer Complaint

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Ircha (Ircha), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Ircha 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 06, 2026.

Claimant expresses concerns regarding the alleged suitability of investments and potential breaches of fiduciary duty and Regulation Best Interest (Reg BI).

There are Recent Customer Complaints with Broker Kelly Crane in Firm Wealth Enhancement Brokerage Services, LLC

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelly Crane (Crane), currently associated with Wealth Enhancement Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crane 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 $60,000.00 on March 04, 2026.

The Firm received a written customer complaint alleging various claims, including but not limited to unsuitable investments.

There are Recent Customer Complaints with Broker Keegan De Silva in Firm Great Point Capital LLC

May 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keegan De Silva (De Silva), currently associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that De Silva 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.

There are Recent Customer Complaints with Broker Shalom Azar in Firm Wells Fargo Advisors Financial Network, LLC

May 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 11, 2026.

Client alleges misrepresentation with respect to commissions charged on individual trades and opening of managed account

Broker Joseph Murphy in Key Investment Services LLC Firm Has Customer Complaint

May 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Murphy (Murphy), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $20,000.00 on March 10, 2026.

Failure to timely transfer an annuity resulted in an automatic renewal resulting in surrender charges and lost interest.

Broker Alexander Fischman in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

May 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 11, 2026.

Client alleges misrepresentation with respect to commissions charged on individual trades and opening of managed account

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

May 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Dale (Dale), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dale 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.

There are Recent Customer Complaints with Broker Reed Haimson in Firm Great Point Capital LLC

May 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reed Haimson (Haimson), currently associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haimson 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 $475,000.00 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 date of the investment is February 28, 2023.

Broker Robert Jones in Quincy Wells Capital, LLC Firm Has Customer Complaint

May 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Jones (Jones), currently associated with Quincy Wells Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $475,000.00 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 date of the investment is February 28, 2023.

There are Recent Customer Complaints with Broker Andrew Grezaffi in Firm Purshe Kaplan Sterling Investments

May 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 10, 2026.

Plaintiff alleges breach of fiduciary duty related to the sale of several parcels of land to another party.