Reg BI

Broker Gregory Richards in Kingswood Capital Partners, LLC Firm Has Customer Complaint

October 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Richards (Richards), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Richards 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 $300,000.00 on April 03, 2025.

The customers allege that the Registered Representative recommended and misrepresented an unsuitable, high-risk and illiquid investment and breached his fiduciary duty.

There are Recent Customer Complaints with Broker Larry Tolbert in Firm Lion Street Financial, LLC

October 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Tolbert (Tolbert), currently associated with Lion Street Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tolbert 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 $50,000.00 on March 27, 2025.

Larry J. Tolbert was named in a customer complaint that asserted the following causes of action:negligence, professional negligence, violations of law, unsuitable recommendations, negligent supervision, breach of contract, breach of fiduciary duty, and breach of securities industry rules and regulations, including but not limited to Reg BI.

Broker Robert Lott in Cambridge Investment Research, INC. Firm Has Customer Complaint

October 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lott (Lott), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lott 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 $45,000.00 on April 15, 2025.

Client alleges RR misrepresented the benefits, terms and conditions of the annuity.

There are Recent Customer Complaints with Broker Ryan Turner in Firm LPL Enterprise, LLC

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Turner (Turner), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Turner 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 $109,290.47 on July 08, 2025.

Customers allege they suffered losses as a result of unauthorized trading that occurred in January 2025, related to a variable annuity that was purchased in 1986.

There are Recent Customer Complaints with Broker Otto Bohon in Firm Centaurus Financial, INC.

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Otto Bohon (Bohon), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bohon 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 $350,000.00 on June 16, 2025.

The customers allege that the Registered Representative recommended unsuitable, complex, high-risk, illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Sean Mccabe in Network 1 Financial Securities INC. Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mccabe (Mccabe), currently associated with Network 1 Financial Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Mccabe 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 $162,000.00 on July 11, 2025.

Misrepresentation, omission of facts, negligence

Broker Darrach Bourke in Emerson Equity LLC Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darrach Bourke (Bourke), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bourke 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 $166,056.00 on July 09, 2025.

Unsuitable investment 2017

There are Recent Customer Complaints with Broker Richard Hubert Depalma in Firm Centaurus Financial, INC.

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Hubert Depalma (Hubert Depalma), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hubert Depalma 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 $124,000.00 on July 15, 2025.

The customers allege that, the Registered Representative recommended and misrepresented unsuitable, high-risk, illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Kenneth Mccabe in Centaurus Financial, INC. Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Mccabe (Mccabe), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mccabe 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 $45,000.00 on July 07, 2025.

The customer alleges that in March 2015, the Registered Representative recommended unsuitable, high-risk, illiquid investments.

Broker Sonia Attkiss in UBS Financial Services INC. Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 18, 2025.

Time Frame: March 26th, 2025 to June 18th, 2025\, \, What were the allegations against the individual? The client alleges that the financial advisor did not execute trades as instructed.