Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on January 30, 2026.

Complaint alleges mismanagement of funds and not being invested and traded according to the accounts investment objective

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harrison Chang (Chang), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chang 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 $200,000.00 on January 30, 2026.

Customer alleges the representative did not act in the best interest of the retail customer when recommending investment to customer in February 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shomir Mukherjee (Mukherjee), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mukherjee 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 $65,000.00 on January 30, 2026.

Customer alleges the representative and the firm did not act in the best interest of the retail customer when recommending investment to the customer between 2020-2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Photiadis (Photiadis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Photiadis 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 $288,000.00 on January 30, 2026.

Customer alleges that an investment made in December of 2019 was unsuitable for the customer’s investment objectives and risk tolerance.

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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 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 June 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Earl Newsome (Newsome), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Newsome 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 $499,000.00 on January 30, 2026.

The customers allege that their investment in two (2) indexed universal life insurance policies in 2016 was poorly designed and unsuitable for their financial circumstances.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kelly (Kelly), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kelly 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 investments they purchased were not suitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Egan (Egan), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 30, 2026.

Customer alleges the representative did not act in the best interest of the retail custoner when recommendinginvestment to the customer in February 2018

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carmen Morrone (Morrone), currently associated with Realta Equities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Morrone 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 $237,816.53 on January 30, 2026.

Claimant alleges failure of due diligence and disclosure.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Kersting (Kersting), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kersting 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 February 02, 2026.

Claimants allege that Respondents recommended an aggressive investment strategy incompatible with their investment profile.

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