Reg BI

There are Recent Customer Complaints with Broker Steven Farley in Firm LPL Financial LLC

March 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $42,000.00 on September 24, 2020.

Claimant alleges that one of the investments purchased for his portfolio in 2013 was unsuitable because the price of the investment allegedly declined in June of 2020. activity period: 4/2013 to 7/2020.

There are Recent Customer Complaints with Broker Peter Maris in Firm Osaic Wealth, INC.

March 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $750,000.00 on September 23, 2020.

Customers allege universal life insurance policy and variable annuities purchased beginning in 1999 were unsuitable.

Broker Howard Leon in Newbridge Securities Corporation Firm Has Customer Complaint

March 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on September 24, 2020.

Suitability

There are Recent Customer Complaints with Broker Christopher Murray in Firm Mutual Securities, INC.

March 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 28, 2020.

Client retained an attorney to investigate a series of transactions that resulted in a loss. Client was concerned that the transactions were not properly authorized.

There are Recent Customer Complaints with Broker Henry Goodman in Firm Young America Capital, LLC

March 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $600,000.00 on September 28, 2020.

December 2018 Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Scott Merrill in Firm UBS Financial Services INC.

March 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 24, 2020.

Client alleges he was told his fee to managed his account would be \\u00bd percent, however, after review he is being charged \\u00be percent.

Broker Paul Disantis in Securian Financial Services, INC. Firm Has Customer Complaint

March 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 24, 2020.

Client alleges rep misrepresented policy at the time of sale in 11/2018.

Broker Michael Bahary in Hilltop Securities INC. Firm Has Customer Complaint

March 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $25,000.00 on September 23, 2020.

Customer alleges that representative failed to follow instructions with respect to the disclosure of account transactional information, failed to follow instructions from an account trustee.

Broker Burton Halpert in Morgan Stanley Firm Has Customer Complaint

March 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on September 29, 2020.

Claimants allege, inter alia, unsuitability with respect to investments in accounts – Jan, 2014 – Dec, 2019

There are Recent Customer Complaints with Broker Jesse Raines in Firm Cetera Wealth Services, LLC

March 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on October 05, 2020.

Clients allege they were not told about the surrender charges and the tax liability they would incur when they surrendered their contract in August 2020.