Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on August 26, 2025.

THE COMPLAINANT ALLEGES THAT IN/OR AROUND 2017, THEY HAVE REASON TO BELIEVE THEIR REGISTERED REPRESENTATIVE WAS USING PART OF THEIR BROKERAGE INVESTMENT DOLLARS TO OPEN LIFE INSURANCE POLICIES, AND PULL THE CASH VALUE, WHEN NEEDED, TO RETURN TO THE REGISTERED REPRESENTATIVES CUSTOMERS. THE COMPLAINANT SAYS FALSE EMAIL AND MAILING ADDRESSES WERE ASSOCIATED WITH THE APPLICATIONS.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ted Boutis (Boutis), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Boutis 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 August 27, 2025.

Claimants allege they were recommended unsuitable investments in an annuity and a mutual fund.

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

FINRA BrokerCheck shows a settled customer complaint on August 26, 2025.

Claimant alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimant further alleged that the Representative misrepresented the risk and potential for further income and growth.

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

FINRA BrokerCheck shows a settled customer complaint on August 25, 2025.

Claimants alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimants further alleged that the Representative misrepresented the risks and potential for future income and growth.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Woods (Woods), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Woods 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 $103,000.00 on August 26, 2025.

Fraud; Aiding and Abetting Breach of Fiduciary Duty; Aiding and Abetting Fraud; Breach of Fiduciary Duty. From 2008 to 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Hulick (Hulick), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Hulick 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 August 25, 2025.

Failure to supervise alleged unsuitable investment recommendation in a closed end income fund.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Block (Block), previously associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Block 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 August 26, 2025.

Customer alleged misrepresentation related to the sale of an annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Beetz (Beetz), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beetz 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 August 27, 2025.

Unsuitable investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Duncan (Duncan), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duncan 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 August 27, 2025.

FA recommended an unsuitable investment strategy that concentrated his accounts and then recommended that Claimant hold those positions.

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

FINRA BrokerCheck shows a pending customer complaint on August 27, 2025.

Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest

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