Reg BI

There are Recent Customer Complaints with Broker Jason Knox in Firm Lincoln Investment

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Knox (Knox), currently associated with Lincoln Investment, has at least one disclosable event. These events include one customer complaint, alleging that Knox 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 $10,397.45 on July 15, 2025.

Client alleged that financial professional acted with discretion, in a non-discretionary account, when, in July 2021, financial professional sold 100% of client’s Franklin Growth Fund to purchase more diversified, lower-risk investment models. Client alleged that she became aware of the sale in November 2023, when she received an IRS notice regarding taxes, interest and penalties owed to the IRS in relation to the sale. Client requested to be reimbursed in the amount of $10,397.45.

Broker Robert Omohundro in Alexander Capital, L.p. Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 14, 2025.

Breach of Fiduciary Duty; Aiding and Abetting; Negligence (Failure to Supervise). Violations of Georgia State Laws. Beginning 2020 through2024.

There are Recent Customer Complaints with Broker Guy Harrigan in Firm Lion Street Financial, LLC

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guy Harrigan (Harrigan), previously associated with Lion Street Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harrigan 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 $123,000.00 on July 01, 2025.

Claimants allege damages related to the unsuitable sale of an alternative investment.

There are Recent Customer Complaints with Broker Bryon Martinsen in Firm Centaurus Financial, INC.

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryon Martinsen (Martinsen), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinsen 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 July 03, 2025.

The customer alleges that, the Registered Representative over concentrated assets in illiquid, speculative Investments. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Roger Roemmich in Alexander Capital, L.p. Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 14, 2025.

Breach of Fiduciary Duty; Aiding and Abetting; Negligence (Failure to Supervise). Violations of Georgia State Laws. Beginning in early 2020 through 2024.

There are Recent Customer Complaints with Broker William Braun in Firm Kestra Investment Services, LLC

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Braun (Braun), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Braun 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 July 15, 2025.

Alleges unsuitable recommendations in GWG L bonds

Broker Michael Frontino in Osaic Wealth, INC. Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Frontino (Frontino), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frontino 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 July 08, 2025.

Customer alleges REIT purchased in 2015 was unsuitable.

Broker John Li in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Li (Li), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Li 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 $694,674.63 on July 15, 2025.

Claimants allege that, in March 2011, Respondents recommend Claimants replace their Hartford annuities with two Genworth Life annuities. Claimants also claim that in late 2022, Respondents recommended that they replace their Genworth annuities with MassMutual annuity products for the purported purpose of earning a higher interest rate. Claimants further allege that this exchange required Claimants to relinquish the Long-Term Care rider provision of the Genworth annuities.

There are Recent Customer Complaints with Broker Patrick Hobert in Firm Centaurus Financial, INC.

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Hobert (Hobert), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hobert 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 $80,000.00 on July 15, 2025.

The customers allege that in September 2015, the Registered Representative recommended unsuitable, illiquid investments.

There are Recent Customer Complaints with Broker Charles Kaufmann in Firm UBS Financial Services INC.

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Kaufmann (Kaufmann), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Kaufmann 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 $47,925.00 on July 25, 2025.

Time Frame: September 27th, 2024 to February 3rd, 2025\, \, What were the allegations against the individual? The Trustee alleges her instructions of not to engage in any transaction that would cause dividend or interest income in the account was not followed.