Reg BI

Broker Peter Po in Emerson Equity LLC Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Po recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 26, 2026.

Breach of Contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of state securities statutes, fraud and constructive fraud, breach of fiduciary duty, negligence and gross negligence, misrepresentation/omission and negligent misrepresentation/omission, unjust enrichment, common law, statutory claims and damages

Broker Michael Barrows in Innovation Partners LLC Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Barrows (Barrows), currently associated with Innovation Partners LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Barrows recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 27, 2026.

Respondent Barrows failed to pay arbitration fees of $6,727.14 assessed in FINRA Arbitration Case #22-01360.

There are Recent Customer Complaints with Broker Robert Baker in Firm Colorado Financial Service Corporation

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Baker (Baker), currently associated with Colorado Financial Service Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 March 25, 2026.

Customer alleges that the former registered representative recommended and implemented an investment strategy that was unsuitable and misrepresented associated risks and costs.

There are Recent Customer Complaints with Broker Matthew Gimmelli in Firm Morgan Stanley

May 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 25, 2026.

Client alleges, misrepresentation with respect to fees and claims that recommendation to open managed account at morgan stanley was not made in their best interests

Broker Peter Mamais in Equity Services, INC. Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Mamais (Mamais), currently associated with Equity Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mamais 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 $15,750.00 on March 30, 2026.

Customer alleges representative did not disclose fees associated with a variable annuity purchase.

Broker Michael Hamilton in Centaurus Financial, INC. Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hamilton (Hamilton), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 $224,500.00 on March 26, 2026.

The customer alleges that in September 2019 through February 2021, the Registered Representative recommended unsuitable, high-risk, illiquid investments.

There are Recent Customer Complaints with Broker Kristina Oswald in Firm Cetera Wealth Services, LLC

May 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 25, 2026.

The executor of the client’s estate alleged the financial professional failed to process a change of beneficiary prior to the death of the client.

Broker Jeffrey Lewis in Truist Investment Services, INC. Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Lewis (Lewis), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lewis 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 $12,000.00 on March 27, 2026.

The client is alleging that he gave instructions to invest his funds into 4% treasuries but instead the funds remained in a money market account for 6 months. Client’s claim for damages is based on the client’s assessment of purported missed interest payments.

There are Recent Customer Complaints with Broker Robert Waugh in Firm Cambridge Investment Research, INC.

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Waugh (Waugh), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waugh 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 $35,733.00 on March 30, 2026.

The clients allege that RR provided a poor recommendation to sell mutual funds resulting in tax consequences.

Broker Michael Steinthal in Great Point Capital LLC Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Steinthal (Steinthal), currently associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Steinthal 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 26, 2026.

Purchased DST as part of a 1031 tax-deferred exchange. Claimant alleges a lack of suitability and due diligence, breach of fiduciary duty, among other claims. Purchase of investments occurred during or after 2021.